regional pastoral livelihoods resilience...

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GOVERNMENT OF KENYA

MINISTRY OF AGRICULTURE, LIVESTOCK AND FISHERIES

REGIONAL PASTORAL LIVELIHOODS RESILIENCE PROJECT

(RPLRP)

FINAL DRAFT

RESETTLEMENT POLICY FRAMEWORK

(RPF)

RESEARCH SOUND SUPPORT CONSULTANTS LIMITED IN ASSOCIATION

WITH EMC CONSULTANTS

[email protected]/[email protected]

www.emconsultants.org/www.researchsoundltd.com

November 2013

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mailto:[email protected]/[email protected]

wb371432

Typewritten Text

RP1522

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TABLE OF CONTENTS

ACRONYMS AND ABBREVIATIONS ................................................................................................... IV

1. BASIC INFORMATION .................................................................................................................... 1

2. EXECUTIVE SUMMARY................................................................................................................. 4

BACKGROUND ............................................................................................................................................ 4 PROJECT COMPONENTS .............................................................................................................................. 4 PURPOSE AND SCOPE OF RPF ..................................................................................................................... 5 METHODOLOGY FOR RPF PREPARATION .................................................................................................... 5 LEGAL FRAMEWORK .................................................................................................................................. 5 POTENTIAL PROJECT IMPACTS AND MITIGATIONS ...................................................................................... 6 MITIGATION MEASURES ............................................................................................................................. 6 ELIGIBILITY FOR COMPENSATION ............................................................................................................... 7 VALUATION METHODS ............................................................................................................................... 7 PROJECT SCREENING AND PREPARATION ................................................................................................... 8 STAKEHOLDER CONSULTATION AND PARTICIPATION ................................................................................. 8 DOCUMENTATION ....................................................................................................................................... 8 PROCEDURE FOR DELIVERY OF COMPENSATION ........................................................................................ 9 RPF IMPLEMENTATION AND MONITORING ................................................................................................. 9 ROLES AND RESPONSIBILITIES .................................................................................................................... 9 CAPACITY FOR IMPLEMENTATION .............................................................................................................10 MONITORING ASPECTS ..............................................................................................................................10 BUDGET AND FUNDING .............................................................................................................................11 DISCLOSURE ..............................................................................................................................................11

3. DESCRIPTION OF THE PROJECT AND POTENTIAL SUB PROJECTS CAUSING

RESETTLEMENT ......................................................................................................................................12

BACKGROUND AND STRATEGIC CONTEXT ...................................................................................12 PASTORAL LIVELIHOODS RESILIENCE ISSUES AND CHALLENGES IN THE ASALS ......................................13 PROJECT DEVELOPMENT OBJECTIVE (PDO) ..............................................................................................15 PROJECT BENEFICIARIES AND TARGETING APPROACH ................................................................................16 PROJECT COMPONENTS .............................................................................................................................16

Component 1:– Natural Water Resources Management ......................................................................16 Sub-component 3.1: Livestock Production and Health ........................................................................24 Sub-component 3.2: Food and Feed Production .................................................................................25 Sub-component 3.3: Livelihood Diversification ...................................................................................25

..................................................................................................................................................................29 FIGURE 1. PROJECT TARGETED COUNTIES .................................................................................................29 WORLD BANK SAFEGUARD POLICY ..........................................................................................................30 NEED FOR A RESETTLEMENT POLICY FRAMEWORK...................................................................................30 PURPOSE OF THE FRAMEWORK ..................................................................................................................30 OBJECTIVES OF THE RPF ...........................................................................................................................30 SCOPE ........................................................................................................................................................31 RESETTLEMENT IMPLICATIONS OF RPLRP ................................................................................................31 PROJECT IMPLEMENTATION .......................................................................................................................32

Insitutional And Implementation Arrangements .................................................................................32 PROJECT COORDINATION UNIT (PMU) .....................................................................................................33

4. METHODOLOGY & OVERVIEW OF IMPACTS .......................................................................35

DETAILED AND IN-DEPTH LITERATURE REVIEW .........................................................................................35

RPLRP Resettlement Policy Framework- RPF ii

INTERACTIVE DISCUSSIONS .......................................................................................................................35 DEFINITION OF PROJECT AFFECTED PERSONS .........................................................................................35 PROJECT ACTIVITIES WITH DISPLACEMENT POTENTIAL .............................................................................36 IMPLEMENTING AGENCIES (IA) ..................................................................................................................36 CATEGORIES OF PAPS ...............................................................................................................................36 APPROXIMATE NUMBER OF PAPS ..............................................................................................................37 POTENTIAL RELOCATION AREAS ................................................................................................................37

5. PRINCIPLES & OBJECTIVES GOVERNING RESETTLEMENT PREPARATION &

IMPLEMENTATION .................................................................................................................................38

THE OBJECTIVES OF THE RESETTLEMENT POLICY FRAMEWORK (RPF) .....................................................38 RATIONALE FOR PREPARING THE RPF ........................................................................................................38 FLEXIBILITY OF THE RPF...........................................................................................................................39 RPF PRINCIPLES UNDER RPLRP ................................................................................................................39 INVOLUNTARY RESETTLEMENT .................................................................................................................40 ENTITLEMENT UNDER RPF ................................................................................................................41

Physical Displacement .........................................................................................................................41 Economic displacement .......................................................................................................................41

6. LEGAL AND REGULATORY FRAMEWORK ............................................................................43

THE NATIONAL LAND POLICY ..........................................................................................................44 THE CONSTITUTION OF KENYA ........................................................................................................45 LAND TENURE SYSTEM IN KENYA .............................................................................................................46

Customary Land Tenure ......................................................................................................................46 Freehold Tenure...................................................................................................................................47 Leasehold Tenure .................................................................................................................................47 Public Tenure and the National Land Commission (NLC) ..................................................................47

LAND ACT, 2012 .....................................................................................................................................48 LAND ACQUISITION PROCESS ...........................................................................................................48 COMMUNITY LAND .............................................................................................................................52 CHILDREN AND ORPHANS PROVISION OF LAND POSSESSION .......................................................53 THE VALUERS ACT...............................................................................................................................53 COUNTRY AND REGIONAL STRATEGIES AND PROGRAMS TO IMPROVE LIVELIHOODS RESILIENCE ..............54 ON-GOING /RECENTLY CLOSED PROJECTS IN THE ASALS ..........................................................................56

7. COMPARISON OF KENYA LAWS AND WORLD BANK REQUIREMENTS .......................60

COMPARATIVE ANALYSIS OF WORLD BANK OP 4.12 AND KENYA’S REQUIREMENTS RELEVANT TO THE

PROCESS ....................................................................................................................................................68

8. ELIGIBILITY CRITERIA, ENTITLEMENT, VALUATION AND COMPENSATION ..........69

CATEGORY OF PROJECT AFFECTED PERSONS ......................................................................................69 ELIGIBILITY TYPE FOR COMPENSATION .....................................................................................................71 ENTITLEMENT MATRIX ...............................................................................................................................72 PROCESSES OF COMPENSATION AND ENTITLEMENT ...................................................................................79

Formal Processes Involved With Compulsory Acquisition of Land .....................................................79 Establishment of Sub County Resettlement and Compensation Committee (SCRCC and LRCC) .......80

METHOD TO DETERMINE CUT-OFF DATES ................................................................................................80 METHODS OF ASSETS VALUATION ..................................................................................................81 VALUATION PROCESS OF ASSETS ....................................................................................................81 METHODS FOR VALUING ASSETS IN KENYA ..............................................................................................83 OTHER METHODS .......................................................................................................................................83 CALCULATION OF COMPENSATION BY ASSETS ...........................................................................................84

RPLRP Resettlement Policy Framework- RPF iii

9. PREPARING & APPROVING RESETTLEMENT AND COMPENSATION PLANS .............89

THE SCREENING AND RESETTLEMENT PROCESSES AND PLANNING ...........................................................89 PROCESS ....................................................................................................................................................89 PREPARATION OF A PROJECT SPECIFIC RAP ..............................................................................................89 APPROVAL OF RESETTLEMENT ACTION PLANS: ........................................................................................92

10. IMPLEMENTATION ARRANGEMENTS ....................................................................................94

INSTITUTIONAL ROLES FOR RAP PREPARATION AND IMPLEMENTATION UNDER RPLRP....................94 Ministry of Agriculture, livestock and Fisheries (MALF) ....................................................................94 Project Management Unit (PMU) ........................................................................................................94 National Land Commission (NLC) ......................................................................................................95 Sub County Resettlement and Compensation Committees (SCRCC ....................................................95 Locational Resettlement and Compensation Committee (LRCC) ........................................................96

11. IMPLEMENTATION SCHEDULE, LINKING RESETTLEMENT IMPLEMENTATION TO

CIVIL WORKS ...........................................................................................................................................98

IMPLEMENTATION SCHEDULE ....................................................................................................................98

12. GRIEVANCES REDRESS MECHANISMS .................................................................................100

THE GRIEVANCE REDRESS PROCESS .........................................................................................................101 Detail procedures for grievance management ...................................................................................102 Grievance Log ....................................................................................................................................103 Monitoring Complaints ......................................................................................................................103

13. RPF IMPLEMENTATION BUDGET ...........................................................................................104

14. MECHANISMS FOR CONSULTATIONS AND PARTICIPATION IN PLANNING,

IMPLEMENTATION AND MONITORING .........................................................................................108

DATA COLLECTING PHASE .......................................................................................................................109 IMPLEMENTATION OPERATION .................................................................................................................109 MONITORING AND EVALUATION PHASE ..................................................................................................109

15. ARRANGEMENTS FOR MONITORING AND EVALUATION ..............................................110

WHO WILL DO THE MONITORING .............................................................................................................110 METHODOLOGY USE FOR THE RAP MONITORING ...................................................................................110 INDICATORS TO DETERMINE STATUS OF AFFECTED PEOPLE ...................................................................110 REGULAR MONITORING OF RPF/RAP IMPLEMENTATION ........................................................................111

15. ANNEXES ............................................................................................................................................113

ANNEX 1: GLOSSARY OF TERMS ....................................................................................................114 ANNEX 2: ..............................................................................................................................................117 ANNEX 3: CENSUS AND LAND ASSET INVENTORY FORM ........................................................119 ANNEX 4: COMMUNITY ASSETS AND INFRASTRUCTURE ........................................................123 ANNEX 5: SAMPLE GRIEVANCE REDRESS FORM ........................................................................125 ANNEX 6: DRAFT TORS FOR THE DEVELOPMENT OF RESETTLEMENT ACTION PLAN (RAP)

................................................................................................................................................................126 ANNEX 7: OUTLINE OF RESETTLEMENT ACTION PLAN ..........................................................................129 ANNEX 8: OP 4.12 - INVOLUNTARY RESETTLEMENT .................................................................133 ANNEX 9: ISSUES RAISED DURING RPF CONSULTATIVE MEETING AT COUNTIES WHERE

RPLRP WILL BE UNDERTAKEN .......................................................................................................141 ANNEX 10: LIST OF PARTICIPANTS WHO ATTENDED CONSULTATION ON RESETTLEMENT

POLICY FRAMEWORK ...............................................................................................................................143

RPLRP Resettlement Policy Framework- RPF iv

ACRONYMS AND ABBREVIATIONS

AM Aide Memoire

ARAPs Abbreviated Resettlement Action Plans

CLB Community Land Board

DLO District Land Office

DPs Displaced Persons

SCRCC Sub County Resettlement and Compensation Committees

EIA Environmental Impact Assessment

EMCA Environmental Management Coordination Act

GCRC Gross Current Replacement Cost

GOK Government of Kenya

IDA International Development Association

KSHS Kenya Shillings

LA Land Act 2012

LRA Land Registration Act 2012

LRCC Locational Resettlement and Compensation Committees

M&E Monitoring and Evaluation

MEWNR Ministry of Environment, Water and Natural Resources

MOF Ministry of Finance

MALF Ministry of Agriculture, Livestock and Fisheries

MTR Mid-Term Review

NEMA National Environment Management Authority

NGO Non-Governmental Organisation

NLC National Land Commission

NLP National Land Policy

OP Operational Policy

OVC Orphaned Vulnerable Children

PAD Project Appraisal Document

PAP Project Affected Persons

PCDP Public Consultation Disclosure Procedures

PMU Project Management Unit

PIM Project Implementation Manual

PLO Project Liaison Officer

RAPs Resettlement Action Plans

RPF Resettlement Policy Framework

STI Science, Technology and Innovation

USD United States Dollar

VMGF Vulnerable and Marginalised Groups Framework

VMGP Vulnerable and Marginalised Groups Plan

VRB Valuation Registration Board

WB World Bank

WRMA Water Resources Management Authority

1

1. BASIC INFORMATION

1. Country and Project Name:

Kenya – Regional Pastoral Livelihood Resilience Project

2. Project Development Objectives:

The overall development objective of the RPLRP is to develop and implement regional approaches

that enhance livelihoods resilience of pastoral and agro-pastoral communities in the drought prone

areas of the ASALs of Kenya and its neighboring countries including Ethiopia and Uganda.

The project will contribute to the agreed response of Kenya along with other IGAD member states

to address the regional priorities developed through the Country Programs Papers (CPP) in

response to the IGAD drought disaster resilience and sustainability initiative (IDDRSI) in the Horn

of Africa.

Specific objectives

1. The specific objective of the Natural Resource Management Component is to contribute to

the development of a framework for the management and utilization of shared pastoral and

agro-pastoral resources within the context of social stability and conflict prevention and,

management. The outcome of this is to increase availability and equitable access to

sustainably managed land, pasture and livestock water resources for cross border livestock

and pastoralist movement.

2. The objectives of the Marketing Access and Trade Component is to harmonize trade

policies regulatory framework to promote formal regional/cross border trade; streamline

livestock movement requirements at border control points; address the constraints of cross-

border trade services including infrastructure, certification, information, human capacity

development and value chain development. The intended outcome of this component is

improved access to markets and trade.

3. In the Livelihoods Support Component, the objective is to develop resilient livestock

livelihoods and other supporting diversified livelihoods. This will result in increased

adaptive capacities of households in drought prone communities.

4. The Pastoral Risk Management Component objective is to establish national infrastructure

and capacity for implementing harmonious and effective early warning and response

systems for management of droughts and other disasters. This will result in eenhanced

disaster (especially drought) preparedness, prevention, management and response.

5. The Project Management objective is to have a harmonized project management within the

implementing counties in the country and between the implementing countries. The

outcome of this will be effective and efficient utilization of resources for the drought

resilience project in the target areas

3. Project Outcomes:

RPLRP Resettlement Policy Framework- RPF 2

4. Expected Project Benefits:

The project direct beneficiaries estimated at 92,2901 are the pastoral and agro-pastoral

communities susceptible to climate uncertainties and recurrent droughts.

5. Identified Project Social Risks:

The project investment is expected to lead to economic and physical displacement of the

beneficiaries

Recipient: Government of Kenya –Ministry of Agriculture, Livestock and Fisheries (MALF)

Responsible Government/Country Agency for RPF Implementation:

Total Project Cost (USD million): Approx. USD$ 102 million

IDA/IBRD (USD million): Approx.75

Total Cost of RPF (USD million):

Project preparation (USD million): 0.080

Government (USD million): USD 27 million including community contribution

Name/Contacts of Consultant/Consulting Firm who prepared RPF:

Research Sound Support Consultants/EMC Consultants

Date RPF Prepared: October 2013

Date RPF 2013

Country: Kenya Social Safeguards Specialist:

Country Manager:

Country Director:

Task Team Leader:

SDN Sector Leader:

Project ID:

Environment Category:

Date ISDS prepared:

Date ISDS disclosed: 28TH

November 2013

Year of project appraisal:

Year of project closing:

Is this a transferred project?

[ ] Yes [ X ] No

Is RPF applied to financial intermediary or intermediaries financing sub-

projects?

[ ] Yes [ X ] No

Is RPF applied because zone of impact of sub-projects cannot be

determined at this stage?

[ ] Yes [ X ] No

Is the RPF applied because the zone of impact is known but the site

(location) alignments are not yet well established?

[ ] Yes [ X ] No

Is this community driven development (CDD) project?

[ ] Yes [ X ] No

Is this a sector-wide project with national coverage? [ ] Yes [ X ] No

1 The population has been estimated from the proportion of the project investment (KES 6 billion) relative to the

requirement in the Kenya CPP (226 billion) which is multiplied by the proportion of people affected by major drought

hazards (3.5 million)


Is this a regional operation, with national/sub-national coverage?

[ X ] Yes [ ] No

Safeguard policies triggered? Applicable

Environmental Assessment (OP/BP 4.01) [ X ] Yes [ ] No

Natural Habitats (OP/GP 4.04) [ X ] Yes [ ] No

Forestry (OP 4.36) [ ] Yes [X] No

Pest Management (OP 4.09) [ X ] Yes [ ] No

Cultural Property (OP 4.11) [ ] Yes [X] No

Indigenous Peoples (OP 4.10) [ X ] Yes [ ] No

Involuntary Resettlement (OP 4.12) [ X ] Yes [ ] No

Safety of Dams (OP/BP 4.37) [ ] Yes [X] No

Projects in Disputed Areas (OP/BP 7.60) [ ] Yes [X] No

Projects on International Waterways (OP/BP 7.50) [ ] Yes [X] No


2. EXECUTIVE SUMMARY

BACKGROUND

The Government of Kenya has received technical assistance from technical consortium of

the development partners to finance the preparation of the proposed Regional Pastoral

Livelihoods Resilience Project (RPLRP) that is to be implemented in Kenya, Uganda and

Ethiopia. In Kenya, the project implementation will be under the overall responsibility of

Ministry of Agriculture, Livestock and Fisheries (MALF).

The Project Development Objective (PDO) is to enhance livelihoods resilience of

pastoral and agro-pastoral communities in drought prone areas through regional

approaches. The project will be implemented in 14 Counties which are Lamu, Isiolo,

Laikipia, Mandera, Marsabit, West Pokot, Turkana, Tana River, Garissa, Baringo,

Samburu, Narok, Samburu and Wajir which have cross border activities and trans-

boundary stock routes linking pastoral communities on either side of the borders.

PROJECT COMPONENTS

Component 1: Natural Resources Management - At the national and sub-regional

levels, this component will support the mapping of major natural resources (water

resources, rangelands), their full embedment in the policy design/review process and a

better planning of interventions related to them. It will rehabilitate natural resources that

are crucial for livestock productivity and resilience to droughts, such as major water

points and pasture. The activities will empower communities in sustainable natural

resources management by introducing collective rangeland management systems. For the

purpose of the RFP this component focuses on eight (3) sub components namely; i) water

resource development, ii) sustainable land management in pastoral and agro pastoral

areas and iii) securing access to natural resources in the Arid and Semi-Arid Lands

(ASALs) and border countries.

Component 2: Market Access and Trade- this component will support market

infrastructure with a focus on those that support regional trade and export. The objectives

are both to facilitate intra-regional trade of animals and animal products. It will build the

capacity in the national veterinary services, as well as promotion of increased

collaboration among countries. It will improve the surveillance and control systems of

trans-boundary animal disease that negatively impact trade. The component will finally

assist the three countries and Inter Governmental Authority on Development (IGAD) in:

(i) harmonizing their animal health and food safety standards as part of Sanitary and

Phytosanitary Standards in compliance with international ones (set up by the World

Organization for Animal Health and Codex Alimentarius); (ii) strengthening the national

and regional market information systems; and (iii) establishing and improving regionally

recognized animal identification and traceability systems.

Component 3: Livelihoods Support; Investments- Under this component will address

trans-boundary issues related to improved livestock productivity (fodder/feed production,

animal health and breed improvement) and diversification (processing, non-livestock

products, etc.). This component will disseminate across participating countries existing

and tested approaches and/or technologies developed through research for the dry lands.

The component will be implemented under three key sub component namely; i)


Livestock production and Health, ii) Food and Feed Production and productivity, iii)

Livelihood diversification.

Component 4: Pastoral Risk Management - This component will strengthen existing

national Early-Warning and Response Systems in the project districts and link them with

a sub-regional under the IGAD platform. It is aimed at helping pastoralists build

resilience to drought and other climatic shocks. The activities will harmonize the

response to disasters in communities and other stakeholders, including public institutions

in charge of drought management, at the sub regional level. This will be done through

organizing joint sub-regional training and disseminating recognized tools for drought

response such as the “Livestock Emergency Guidelines and Standards”. The activities

will also support conflict management with particular focus on cross-border issues, as

livestock and access to natural resources (water and pasture), which are the major drivers

behind conflicts and security in the pastoral areas.

PURPOSE AND SCOPE OF RPF

The purpose of this Resettlement Policy Framework is to establish the resettlement and

compensation principles, organizational arrangements, and design criteria to be applied to

meet the needs of the people who may be affected by the various sub-projects to be

implemented under the RPLRP. The RPF therefore is prepared to guide and govern

RPLRP as subprojects are selected for financing and sets out the elements that will be

common to all subprojects that will entail involuntary resettlement, which will not be

known by the time of project appraisal.

Owing to the nature of the project, the exact location, nature and magnitude of sub-

projects to be financed by the project cannot yet be determined at the moment. Therefore

at this stage it is neither possible to determine the demography and livelihoods of neither

the PAPs nor the resettlement related impoverishment risks they might face.

The Bank O.P.4.12 requires that the RPF report must be disclosed as a separate and

stand-alone by the Government of Kenya and the World Bank. The disclosure of this

document should be both in locations where it can be accessed by the general public and

at the Info shop of the World Bank.

METHODOLOGY FOR RPF PREPARATION

Documentation of the different land tenure systems, social setups and conflict resolution

mechanisms was conducted through interaction with elders, NGOs with working

knowledge of the project areas. The Involuntary Resettlement policy of the World Bank

was reviewed in detail to understand the project’s direct economic and social impacts that

may be caused by involuntary taking of land. Particular attention was paid to the needs

of vulnerable groups especially those below the poverty line, the landless, the elderly,

women and children, indigenous groups, and vulnerable ethnic minorities.

LEGAL FRAMEWORK

There are a number of national and local legal frameworks that regulate land relations in

Kenya. These frameworks define land rights, ownership, procedures and requirements of

transfer and acquisition of land between individuals and groups. They also provide

procedures for the acquisition of land by the state or a public body for public projects.


Among the most important legal instruments in this regard are the Constitution of Kenya;

Land Act; National Land Commission Act; Land Valuers Act; Land Registration Act

2012 and Land Adjudication Act.

The World Bank’s safeguard policy on involuntary resettlement, OP 4.12 is to be

complied with where involuntary resettlement, impacts on livelihoods, acquisition of land

or restrictions to access to natural resources, may take place as a result of the project. In

comparison to Kenyan law that defines rights to land ownership and ownership of

property per se, the World Bank policy on Involuntary Resettlement goes further to

highlight the important relationship between property rights, human settlement and the

need to maintain people’s source of livelihood.

It compliments existing law in Kenya related to property rights and land ownership by

recognizing the socio economic value this presents to persons affected. The higher of the

two standards will be followed in this policy framework, since that procedure also

satisfies the requirements of the lesser standard.

POTENTIAL PROJECT IMPACTS AND MITIGATIONS

Potential Impacts

No significant displacement of persons is expected except for the acquisition of required

land for the expansion of existing facilities and construction of new structures. The

project interventions are meant to strengthen already existing means of livelihood by the

pastoral communities and they are likely to appreciate the services and will likely donate

the land required or allow creation of new community access roads through their land or

plots willingly where necessary. The sub projects are likely to have two categories of

effects. Permanent effects will result into an infinite loss of use of property, vegetation,

or land by the affected person as a result of the sub project activities.

This is likely to occur where permanent installations such as laboratories and slaughter

facilities are established. Temporal effects will result into an interruption in the current

use of property or land by the affected person as a result of the sub project activities.

This is likely to occur during rehabilitation of existing infrastructure especially cattle

crushes, holding grounds, pastureland, water points etc.

MITIGATION MEASURES

Provisions are made under this RFP to minimize all such impacts including those of

socio- economic significance and on environmentally sensitive sites. Provisions are also

made in this RFP to accommodate all potential situations, including cases that entail

actual displacement and livelihood restoration assistance in accordance with the World

Bank Policy on Involuntary Resettlement, OP 4.12.

The potential social impacts to be addressed within the context of preparing this

Resettlement Framework have been identified. It is expected though that site-specific

social assessment studies will be carried out within specific localities, as and when

required. The framework for the compensation/ resettlement will then be applied

incorporating specific (1) institutional arrangements, (2) resettlement/ compensation

eligibility criteria, (3) implementation procedures, (4) financial responsibilities, and (5)

monitoring and evaluation plan.


ELIGIBILITY FOR COMPENSATION

Determination of the eligibility of the bona fide occupants of the properties to be

compensated shall be done through a transparent and legal process, taking into

consideration all the existing laws of Kenya and policies of the World Bank.

Compensation will be paid only to those persons:

1. Who prior to the commencement of the project, have evidence of ownership or

occupancy of the land of at least 30 days within the period of commencement of

the project;

2. Who have property (a house, crops or thriving business enterprise) situated in the

area identified for development;

3. With household members who derive their livelihood from the advantage of

location and proximity to other social economic facilities provided the current

settlement.

VALUATION METHODS

Agricultural land This will be calculated as the pre-project or pre-displacement, whichever is higher,

market value of land of equal productive potential or use located in the vicinity of the

affected land, plus the cost of preparing the land to levels similar to those of the affected

land, plus the cost of any registration and transfer taxes.

Land in urban areas This will be calculated as the pre-displacement market value of land of equal size and

use, with similar or improved public infrastructure facilities and services and located in

the vicinity of the affected land, plus the cost of any registration and transfer taxes.

Houses and other structures It is the market cost of the materials to build a replacement structure with an area and

quality similar to or better than those of the affected structure, or to repair a partially

affected structure, plus the cost of transporting building materials to the construction site,

plus the cost of any labour and contractors' fees, plus the cost of any registration and

transfer taxes.

Loss of Income Losses of income for businesses will be estimated from net daily/monthly profit of the

business verified by an assessment of visible stocks and activities. In addition to the

compensation, disturbance allowances of 10% of total compensation will be considered.

The estimation of supplementary assistance for affected commercial structures or

business units will generally be based on the estimated income obtained from the use of

the business/commercial unit and the estimated period of disruption of business activities.


PROJECT SCREENING AND PREPARATION

Sub projects Screening

Sub-projects might have a social impact on the community. Potential socio-economic

impacts that will require mitigation measures, resettlement and compensation will have to

be identified. The subprojects will be screened to know whether involuntary resettlement,

land acquisition, or loss, denial or restriction of access to land and other economic

resources will be caused by the implementation of the sub-project or whether the sub-

project result in the permanent or temporary loss of crops, fruits and household

infrastructures such as granaries, outside toilets, kitchens, and other structures.

Preparation of RAPs

Subproject specific Resettlement Action Plans will drafted by the RPLRP/PMU in

consultation with other parties responsible for resettlement specifying the procedures it

will follow and the actions it will take to properly resettle and compensate affected

people and communities. The Abbreviated Resettlement Action Plan will be used where

less than 200 individuals are displaced or less than 10% of affected land is lost.

Community Sensitizations

Communities within the project areas as well as indigenous communities will be

sensitized on the project and likely project impacts and the extent of their involvement to

ensure project success. Measures instituted to address negative project impacts will be

well communicated to the community.

STAKEHOLDER CONSULTATION AND PARTICIPATION

Consultation Phases

The levels of consultation will vary from households to community groups, based on the

particular context of the sub-project(s). The RAP team will design the questionnaires but

it will be the households, organizations, and institutions that will validate their

effectiveness through feedback. Focus group meetings with women, farmers’

associations, individuals who own farms, etc., as well as primary and/or secondary

schools, health centers, and agricultural cooperative unions are usually good sources for

establishing the community baseline situation. During implementation, PAPs will be

informed about their rights and options. The grievance mechanism will continue to

operate and all grievances will be recorded. The participation of local leaders and PAPs

in disseminating information and resolving disputes will be important once RAP

implementation starts. PAPs representatives will participate in the sub-project workshops

at mid-term and at the end of RAP implementation. To the extent possible, the RAP

should include social accountability tools like citizen report cards to assess the quality of

RAP implementation, and in some cases, assist the RAP team in tracking expenditures.

DOCUMENTATION

The names and addresses of affected persons will be compiled and kept in a database

including claims and assets. The records are also important especially for future

monitoring activities. Documentation will include documents relevant to land

transactions (voluntary and involuntary).


PROCEDURE FOR DELIVERY OF COMPENSATION

Consultation and public participation with the PAPs will initiate the compensation

process to ensure that all affected individuals and households are well informed and

adequately involved in the entire process. Those who hold title to the land resources will

be duly informed and in case there are no clearly identified owners or users of land to be

acquired, MALF, the respective local government administrations through the lands

officers and the traditional leaders of the respective communities where the land is

located will be solicited to help identify owners or users in order to sensitize them on the

project and its implications.

The RPLRP/PMU either through an internal team or through a consulting firm will

undertake a detailed survey of all losses that will result for each household, enterprise, or

community affected by the RPLRP. During inventories of assets, the owners or persons

authorized to represent them on their behalf will be required to countersign them to

minimize the possibility of subsequent claims or disputes regarding claims.

Compensation payment will be made by National Land Commission to the PAPs or by

court order on the amount of compensation where this has been the subject of litigation

between the RPLRP and the Affected Entity. MALF will disburse the funds directly to

NLC with the relevant records of payments consigned to the RAPs.

RPF IMPLEMENTATION AND MONITORING

Compensation and Resettlement Committees - The Compensation and Resettlement

Committees at Sub County and Locational level will be responsible for organizing and

ensuring that compensations payable to PAPs are made in line with the provisions and

procedures of this RPF.

Grievance Redress Committee- The Grievance Redress Committee will be responsible

for receiving and logging complaints and resolving disputes. The GRC will resolve each

grievance or dispute to ensure that redress actions are implemented by whoever is

mandated to undertake such action. If affected persons are not satisfied the GRC, they

will be entitled to seek redress through the Courts of Law.

Monitoring and Evaluation Team - The Monitoring and Evaluation Team will be

responsible for the monitoring of the RAP implementation programme to ensure that

stated targets are met and project affected persons are duly compensated in line with the

RAP requirements. The sequence of implementation activities and responsibilities are

summarized in the table below.

ROLES AND RESPONSIBILITIES

The implementation activities will be under the overall guidance of the RPLRP/PMU

with support from line ministries. The sub County/County governments in the targeted

sub project areas will be heavily involved in all resettlement, relocation and

compensation efforts for sub projects where resettlement is indicated.


No. Institution Responsibility

1.0 Ministry Agriculture,

Livestock and Fisheries

Overall supervision of the RPF and

Resettlement/Compensation Plan.

To provide funds for compensation payment.

Trigger the process through inventory of affected persons

and assets and implement planning close consultation with

Consultant.

2.0 Ministry of Lands

Housing and Urban

Development

To carry out the valuation and compensation payment

process and reporting for the affected persons

3.0 Ministry of Gender and

Social Development

To oversee gender related issues to ensure that vulnerable

women, former IDPs, the poor and elderly are compensated

equally.

4.0 Ministry of Environment,

Water and National

Resources

Document water resources in the area where the affected

might be relocated to.

5.0 National Environmental

Management Authority

Review and monitor Social & Environmental Impact

Assessments.

6.0

Project Coordination Unit

To liaise with district and MALF in ensuring peaceful

implementation of the process including handling any

grievances.

7.0 Regional/District Land

Valuation Officers

Assist in the valuation and compensation payment process

and reporting.

8.0 Resettlement Committees To assist the community and support in the inventory of

affected persons.

10.

0

Consultants, NGO, CSO Prepare plans and assist with implementation and capacity

building. Assist with sensitization and monitoring.

CAPACITY FOR IMPLEMENTATION

Effective implementation of the RPF will require adequate capacity enhancement within

institutions and other stakeholders. Training will be provided to cover application of RPF

including project screening, impact identification and analysis, procedures for preparation

of RAPs, monitoring and review of Social Safeguards performance as well as reporting

and implementation of the RAPs. Social Development Specialist will be recruited by

MALF to fully address all land acquisition and resettlement issues including indigenous

and vulnerability issues of the project. This will also be the responsible focal person for

all social matters related to the RPLRP and other existing or future projects. Building in-

house capacity is the only sustainable solution.

MONITORING ASPECTS

The monitoring and evaluation will be the main mechanism to alert the RPLRP of any

delays and problems and these activities will help measure the extent to which the main

objectives of the RPF have been achieved. To ensure that the implementation of


resettlement is executed in line with this RPF, the activities will be monitored and

evaluated internally by a Monitoring and Evaluation team at the PMU at the national

level and on ground at the sub County level. The PMU will undertake the routine

internal monitoring and evaluation of the implementation of the resettlement issues so as

to ensure that all the responsible units follow the schedule and comply with the principles

of the resettlement plan. A number of objectively verifiable indicators shall be used to

monitor the impacts of the compensation and resettlement activities. Annual evaluations

will be made in order to determine whether the PAPs have been paid in full and before

implementation of the individual subproject activities, and whether the PAPs enjoy the

same or higher standards of living than before.

BUDGET AND FUNDING

At this stage, it is not possible to confirm the exact number of people who may be

affected. This is because the technical designs and details have not yet been developed

and the land needs have not yet been fully identified. The budget will be developed from

the specific social assessment studies and mitigation/livelihood restoration measures to be

developed. The budget will cover resettlement activities including compensation cost for

affected assets.

MALF through the RPLRP/PMU will prepare the resettlement budget and will finance

this budget in accordance with the administrative and financial management rules and

manuals of the PIM and the National Treasury will provide all the funds for resettlement.

DISCLOSURE

This RPF will be disclosed in compliance with relevant Kenyan regulations and the

World Bank Operational Policy OP 4.12 on Involuntary Resettlement. The documents

will be disclosed at the Info shop of the World Bank and will also be available to any

interested persons. MALF will also provide copies of the RAPs for disclosure at the

World Bank Info shop for public access. In addition the RAPs should be available

throughout the project area and preferably, MALF will prepare summaries of the RAPs in

local languages for distribution to accessible points within the project area.


3. DESCRIPTION OF THE PROJECT AND POTENTIAL SUB PROJECTS

CAUSING RESETTLEMENT

BACKGROUND AND STRATEGIC CONTEXT

The Kenya Vision 2030: This is the overarching national development master plan that

aims to move all Kenyans towards the future as one nation that respects and harnesses the

diversity of its peoples’ values, traditions, and aspirations for the benefit of all. It re-

affirms the Government’s commitment to addressing the particular priorities of Kenyans

living in arid and semi-arid lands

Agriculture (comprising livestock, fisheries and crops, and related activities)

remains a key sector in Kenya’s economy. Agriculture is the mainstay of the Kenyan

economy, directly contributing about 24% of the annual Gross Domestic Product (GDP),

65% of total exports and provides more than 60% of informal employment in the rural

areas. Agriculture in Kenya, therefore, offers considerable options for economic growth

and rural poverty reduction.2.

Livestock contributes more than 47% of the agriculture GDP, and 12% to the national

GDP in Kenya. The livestock sector in Kenya employs about 50% of the agricultural

workforce and about 90% of the Arid and Semi-Arid Lands (ASALs) workforce. The

ASALs occupy 89% of the of the Kenyan landmass of which 70% is arid (Northern

Kenya) and 19% semi-arid lands dispersed all over the country. The ASALs are home to

about 14 million people (of whom 4 million are pastoralists3). Approximately 95% of

ASAL households derive their income from the livestock subsector where. 70% of

livestock is produced.

The number of smallholder farmers and small-herders who are unable to sustain a living

from agriculture is however increasing and yet, with concerted efforts these groups could

benefit greatly from the country’s long experience in collective actions through

cooperatives and producer associations as witnessed in the dairy and horticulture sub-

sectors. The under-exploited potential of rangelands and fisheries subsectors could also

offer the residents in the ASALs sustainable alternative livelihood options.

The ASALs have the lowest development indicators and the highest incidence of poverty

in the country, partly because of past government policies put into effect following the

Sessional Paper No. 10 of 1965 which advocated giving less priority to investing in less

developed Provinces.4. For many years this statement guided the direction of Government

resources, with the result that the social and physical infrastructure of the arid districts

was neglected. Many analysts also argued that the region’s main livelihood strategy,

pastoralism, was irrational and environmentally destructive, and that the ASALs

contributed little to the national economy.

The most obvious implication of the worsening situation and vulnerability of ASALs in

Kenya were demonstrated during the severe droughts that afflicted Kenya and other

IGAD countries between 1981 and 2011. The negative impact of the droughts was

2 A Kenya CPP - A framework to End Drought Emergencies in the HoA, October 2012 3 Kirbride and Grahn 2008 4 ibid Government of Kenya Sessional Paper No 2 for 2008,


particularly evident among the pastoralist who lost major parts of their livestock, and in

the increasing number of people receiving food aid5. For example the number people who

received food aid as a proportion of the total affected by drought increased from 60% in

2006 to 88 % in 2010. The livestock subsector sustained significant losses as a result of

the drought between 2008 and 2011 which was estimated at approximately Ksh 699,336

billion with Ksh 56,142 billion in damages and Ksh 643,194 billion in losses in income

flows6.

PASTORAL LIVELIHOODS RESILIENCE ISSUES AND CHALLENGES IN

THE ASALS

Due to the drought in 2011 and high cost of farm inputs, the agriculture sector recorded a

low growth of 1.5 per cent. The severe contraction of production in (ASALs) was the

major contributory factor to the recorded reduction of national agricultural growth. In

these areas, crop and livestock production declined significantly. There were also

significant losses in livestock breeding herds and other assets that may reduce the

productive capacity of these areas for years to come, if no outside intervention is taken to

restore productive capacity quickly. In addition to the drought, crop and livestock

farming was also adversely affected by fuel prices that has resulted to high inputs and

transport costs during 2011/2012.

Over the past few decades, the ASALs have witnessed several transformations that

impacted on the livelihoods of the pastoralists. Migration of the rural communities from

the congested high-rainfall areas to the fragile low rainfall areas has contributed to

change of land-use to non-pastoral activities such as cropping in grazing lands not well

suited for that region. Also, large pastoral grazing areas have been converted to

settlements, removed from communal use to conservation. The pastoral grazing areas

have also been targeted by large government schemes such as Turkwell Electricity

project and the Olkaria Geothermal project thereby reducing accessible communal

grazing. In addition, records indicate that droughts in the arid and semi-arid parts of

Kenya have become longer and more frequent. Over the past 8 years (2005–2012) Kenya

has experienced four episodes of severe drought (2004/05, 2005/06, 2008/09, and

2010/11).

The negative impacts of shrinking pastoral grazing areas and drought manifest itself in

accelerated ecological deterioration. This is characterized by increasing loss of vegetation

cover, land degradation through soil erosion, fragmentation and deterioration of water

sources. These has led to scarcity of livestock feed and water resources. The limited,

overgrazed and degraded rangelands hamper herd growth, leading to reduction of stock

numbers below economical thresholds, consequently driving many pastoralists to

perpetual food insecurity. Increased competition for scarce grazing and water resources

often leads to inter-communal conflicts, insecurity, limited access to markets and other

basic services.

Drought forces livestock owners to sell animals facing imminent death at low sale prices,

thus leading to depressed purchasing capacity of pastoralists (as food prices increase)

increasing their vulnerability to starvation. Deteriorating livestock health, low crop


yields, and rising food prices exacerbate food insecurity. In spite of the above prevents

and transformations, pastoralism remains the most viable economic activity for most of

the people of the ASAL region.

Besides pastoralism, the climatic and cultural diversity of the vast arid and semi-arid

areas offers significant economic and livelihood opportunities that is hitherto untapped or

underexploited. The ASALs are a landscape rich in biodiversity, both fauna and flora,

there are untapped underground water resources as well as stretches of land that could be

used for food and animal feed production. These vast resources and opportunities, if

properly managed and exploited in the presence of reliable infrastructure and social

services, could offer sustainable and prosperous livelihoods for the inhabitants and

eventually spur significant economic growth for the whole nation.

Experience shows that livestock market access is an invaluable part of the livelihood of

the pastoralist and agro-pastoralists. Markets inject money into the local economy on

each market day even in times of stress. This money supports financial access to food.

Livestock markets therefore serve as drivers of rural economies, in pastoral areas. So if

markets collapse .it will result in the collapse of the local economy.

The RPLRP will address the concerns identified above which are the degradation of the

rangeland, scarcity of livestock forage and water, access to market and trade, exploitation

of alternative opportunities to ensure the livelihood of the ASAL communities is secure

Implementation of natural resource management component aims at having prevailed

access, management and utilization of shared resources. Development of well-planned

water resources, with appropriate infrastructure and trained management capacities of

local communities will ensure prevailed access, promote equity, ensure sustainable use

and reduce user rights and access conflict. Water is recognized as a key constraint in

ASAL that determines migratory nature of pastoralists. Migrations due to water scarcity

are closely associated with livestock deaths, notifiable disease outbreaks, and increased

incidence of waterborne human infections. Re-vegetation of degraded areas with grass

and trees will be done to ensure that land regain its productivity. Strategic feed reserves

(hay stores) will be constructed to store surplus, the reserves will be used as emergency

feeds to reduce livestock mortalities in subsequent droughts. These activities will

improve water and pasture availability in quantity and quality hence reducing resource

based conflict and promoting resilience of the pastoral communities during dry seasons.

Protecting the pastoral economy from collapsing due to market failure in essence is

building the resilience of the pastoralists. Activities under market access will ensure all

year-round access to markets both local and regional by facilitating the physical markets

and attendant infrastructure to remain functional. In addition the markets and trade

access component proposes measures that will prevent collapse of livestock prices to

ensure the target communities are not disadvantaged in the terms of trade with other food

and consumer items. The component will also address measures to improve the ice

accruing to livestock and livestock products marketed by the target communities.

Enhanced health of livestock will contribute to reduction of morbidity and mortality. This

will result in increased livestock off-take and increased incomes. Breeding will result in

animals that are more productive under the ASAL conditions. Drought tolerant crops will


contribute to food security and crop by products will be utilized for animal feeding hence

increasing availability of feed. Surplus pastures during the rainy seasons will be

conserved for utilization during dry spells. This will ensure the productivity of livestock

is not adversely affected. The irrigation schemes will further contribute to fodder and

food availability for animal left in the homesteads when others migrate. Support will be

provided to pastoralists who have lost their animals to start income generating activities.

Under the Pastoral Risk Management (PRM) component, the project will build the

capacity of target communities and their service providers to anticipate and monitor

threats through early warning systems and respond appropriately. The anticipated state of

preparedness will enhance the resilience of the community to shocks.

PROJECT DEVELOPMENT OBJECTIVE (PDO)

The overall development objective of the RPLRP is to develop and implement regional

approaches that enhance livelihoods resilience of pastoral and agro-pastoral communities

in the drought prone areas of the ASALs of Kenya and its neighboring countries

including Ethiopia and Uganda.

The project will contribute to the agreed response of Kenya along with other IGAD

member states to address the regional priorities developed through the Country Programs

Papers (CPP) in response to the IGAD drought disaster resilience and sustainability

initiative (IDDRSI) in the Horn of Africa.

The aims of the project include:

Mitigating droughts impact at the national level by introducing regional

interventions in complement to the existing national initiatives such as Kenya

Government Sessional Paper No 2 of 2008 on National Livestock Policy, and the

Kenya Vision 2030.

Building capacities in Kenya for pastoral and agro-pastoral communities from

ASALs that will increase resilience to medium and long-term climate related

vulnerabilities with a focus on livestock related livelihoods;

Building and strengthening linkages with Ethiopia and Ugandan Governments to

better tackle issues that affect communities in the ASALs.

Specific objectives under the components

6. The specific objective of the Natural Resource Management Component is to

contribute to the development of a framework for the management and utilization

of shared pastoral and agro-pastoral resources within the context of social stability

and conflict prevention and, management. The outcome of this is to increase

availability and equitable access to sustainably managed land, pasture and

livestock water resources for cross border livestock and pastoralist movement.

7. The objectives of the Marketing Access and Trade Component is to harmonize

trade policies regulatory framework to promote formal regional/cross border

trade; streamline livestock movement requirements at border control points;

address the constraints of cross-border trade services including infrastructure,

certification, information, human capacity development and value chain


development. The intended outcome of this component is improved access to

markets and trade.

8. In the Livelihoods Support Component, the objective is to develop resilient

livestock livelihoods and other supporting diversified livelihoods. This will result

in increased adaptive capacities of households in drought prone communities.

9. The Pastoral Risk Management Component objective is to establish national

infrastructure and capacity for implementing harmonious and effective early

warning and response systems for management of droughts and other disasters.

This will result in eenhanced disaster (especially drought) preparedness,

prevention, management and response.

10. The Project Management objective is to have a harmonized project management

within the implementing counties in the country and between the implementing

countries. The outcome of this will be effective and efficient utilization of

resources for the drought resilience project in the target areas.

PROJECT BENEFICIARIES AND TARGETING APPROACH

The project direct beneficiaries estimated at 92,2907 are the pastoral and agro-pastoral

communities susceptible to climate uncertainties and recurrent droughts. The

beneficiaries will be targeted based on informed processes and innovative tools (e.g.

PAPOLD, CMDRR, applying maps, GIS. remote sensing and ICT tools and resources) of

defining the biophysical areas that have direct or indirect impact on the ASALs

communities and ecosystems e.g. country, national and regional boundaries, trans-

boundary water and land resources, trans-boundary animal movement and livestock

trade areas, conflict areas and hotspots.

PROJECT COMPONENTS

Component 1:– Natural Water Resources Management

At the national and sub-regional levels, this component will support the mapping of

major natural resources (water resources, rangelands), their full embedment in the policy

design/review process and a better planning of interventions related to them. It will

rehabilitate natural resources that are crucial for livestock productivity and resilience to

droughts, such as major water points and pasture. The activities will empower

communities in sustainable natural resources management by introducing collective

rangeland management systems. This component focuses on:

New water facilities to be constructed

Water facilities to be rehabilitated

Water sheds for the existing shared water facilities to be rehabilitated/developed

Pastoral and Agro-pastoral rangelands/field demonstration schools to established

7 The population has been estimated from the proportion of the project investment (KES 6 billion) relative to the




Sub-component 1.1: Water Resources Development The subcomponent will be implemented through the following outputs:

Available regional/national mapping of water resources and issues users (including

for investments) refined and disseminated The project will refine, improve, assimilate and disseminate information of water

resource from the existing maps and databases8 of the selected project areas. IGAD will

coordinate the development of the legal framework as well as provide a platform for

sharing the data and maps. They will facilitate the improvement of the maps resolution.

At the national activities will include;

Develop legal framework for data and map sharing

Carry out water resources, water use/users profiling. This will be achieved by:

study availed data/maps on location of water resources, function of the resource

and quality of water; Ground truthing and; Update profiles of water resources and

access facilities (data collection, analysis, documentation, storage and production

The infrastructures for water access resources developed and rehabilitated

The project will develop surface water through appropriate community-owned water

harvesting structures while harnessing ground water based on social and environmental

sustainability criteria. IGAD will convene meeting to coordinate the siting of the water

resource facilities. The following activities will be undertaken to achieve this output:

1. Identify and design water resources access facilities. This involves carrying out

feasibility studies on identified water resources access facilities and survey and

design water resources access facilities;

2. Rehabilitate water resource access facilities-water pans, earth dams and boreholes

3. Construct new water resource facilities- water pans, earth dams, rock catchment and

boreholes.

The ministry of Environment, Water and Natural Resources, which possess the necessary

technical knowhow and have the mandate will be engaged in the process and to evaluate

The stakeholders’ capacities to manage the shared water resources through

knowledge dissemination and sharing are strengthened

To achieve the output IGAD will support the setting up of integrated information system

and support regional workshops to share best practices. At the country level activities to

achieve this will include;

1. Set up integrated information system;

2. Build capacity for water user association. Where there none existence the project

will establish water resources user committees for shared water resources; train on

water management skills; hold workshops to share knowledge on best practices

on water resources management at regional, country and county levels

8. Example from IGAD, NDMA WESCOORD ground water resources and WRMA


3. Build capacity for staff; the staff will be trained on operation and maintenance of

water facilities; sponsor relevant short courses and exchange visit to enhance their

capacities.

Sub-component 1.2: Sustainable Land Management

The subcomponent will be implemented through following outputs:

Available regional/national mapping of land resources and use related issues refined

and disseminated

To effectively manage the shared rangelands ecosystems (e.g. seasonal grazing areas,

degraded pasture resource areas and forest cover). IGAD will coordinate the

development of the legal framework as well as provide a platform for sharing the data

and maps. They will facilitate the improvement of the maps resolution. At the national

level, activities will include: Refine, improve, assimilate and disseminate information

existing in maps and databases9 in the project areas, use the information to target

intervention points. Concentration will be mainly in areas adjacent to borders and along

key regional livestock corridors.

1. Promote best practices for rangeland resources through: carry out needs

assessment to identify gaps; hold knowledge sharing workshops to share best

practices at county, national and regional levels; support exchanges visits and

study tours.

Rangeland ecosystems with trans-boundary implications including for livestock

movements are rehabilitated

IGAD will convene meeting to coordinate the choice of intervention points. At the

national level The following activities will be undertaken to achieve this output:

Rehabilitate degraded areas through bush control, seed bulking, extensive reseeding and

soil conservation; conservation of pasture seeds and forage will be promoted

Policies at regional level on rangeland management are harmonized. These will be achieved through the following activities: IGAD will convene joint

meetings for the member state to review and harmonize policies on rangeland

management. While at the national level the activities will include:

1. Collect, Identify gaps, review and harmonize relevant policies; disseminate the

policies

2. Disseminate the AU land policy

3. Carry out a study on effectiveness of implementation of policy regulation

Sub-component 1.3: Securing Access to Natural Resources in the ASALs and border

countries

The subcomponent will be achieved through the implementation of the following outputs:

9. Example, Rangeland NDVI, Fewsnet, ICPAC, MET, RCMRD


Conflict prevention, management and resolution strategies and approaches are

harmonised

To realise this output, the following activities will be undertaken: IGAD will facilitate

setting up platform for information sharing; they will also coordinate the development of

a legal framework for information sharing.

a) Form cross-boundary resilience platform; identify conflict hotspots and drivers;

sensitize relevant stakeholders on the identified causes and mitigation options;

b) Conflict resolution by: Set up a platform for accessing, disseminating and sharing

information Facilitate repeated joint meetings between communities to foster

unity; Support joint activities; Train local government officials and security

officials to enforce agreements; Facilitate signing of the shared agreement;

facilitate exposure visits of community members

Policies at regional and national level on rangeland management including those on

secured access to NR are harmonized and supported

a) To achieve the above the project will undertake the following activities; IGAD

will facilitate and coordinate meetings to review and harmonize policies related to

secure access to natural resources. At the national level activities will include:

b) Support harmonization of decentralization policies and land use policies; hold

regional and local policy consultations and harmonization meeting; support

production and dissemination of the policies. A consultant will be engaged to

drive the process.

c) Strengthen traditional institution for implementation of policies by; mobilize

community leaders; facilitate meeting that build on traditional conflict

management; facilitate formal recognition of the institutions; facilitate the

community to carry peace campaigns

d) Operationalize existing policies through; Civic education, create awareness and

network at county and regional level; Support formal cross border peace building

negotiations and information sharing meetings.

Component 2: Market Access and Trade

This component will support market infrastructure with a focus on those that support

regional trade and export. The objectives are both to facilitate intra-regional trade of

animals and animal products. It will build the capacity in the national veterinary services,

as well as promotion of increased collaboration among countries. It will improve the

surveillance and control systems of trans-boundary animal diseases that negatively

impact trade. The component will finally assist the three countries and IGAD in: (i)

harmonizing their animal health and food safety standards as part of Sanitary and

Phytosanitary Standards in compliance with international ones (set up by the World

Organization for Animal Health – OIE and Codex Alimentarius); (ii) strengthening the

national and regional market information systems; and (iii) establishing and improving

regionally recognized animal identification and traceability systems. Key subcomponent

activities include:

Livestock Markets to be rehabilitated/Construction


Construction and rehabilitation of border check points to be

rehabilitated/Construction

Construction/rehabilitation of laboratories

Construction/rehabilitation of slaughter facilities

Construction/rehabilitation of holding/auction grounds

Construction/rehabilitation of trading routes to be demarcated

Grazing and strategic livestock feed reserves to be demarcation

Watering points to be demarcated

Sub-Component 2.1: Marketing Infrastructure and Information Systems

This sub-component will facilitate access to markets and trade through the provision of

physical infrastructure and marketing information to livestock market participants.

2.1.1: Livestock Marketing Infrastructure improved

Physical Markets are generally underdeveloped and poorly integrated locally and

regionally. In several instances, poorly supported cross-border trade and mobility are

major causes of health and security hazards. IGAD will coordinate mapping and gap

analysis of cross-border market infrastructure to ascertain the adequacy of:

Holding grounds for animals to rest and recuperate after long period of trekking before

being sold. The holding grounds services will include access to water and animal feed,

livestock products processing facilities, testing and certification facilities and quarantine

facilities.

Infrastructure improvement is expected to facilitate access to markets and trade through

the improved physical infrastructure facilities such as, (i) construction of five sanitary

slaughtering facilities in selected towns; (ii) the development of four and rehabilitation of

6 holding and auction yards/grounds in marketing towns and border trading points with

Uganda and Ethiopia and providing veterinary services at these places, including

inspection and certification services; and (iii) demarcating cross-border trading routes and

providing services (watering and animal health) along these routes.

a) There specific objectives will be achieved through the following priority

activities:

b) Mapping of existing and required infrastructure and harmonize the need for

coordinated infrastructure in the region, and;

c) Identification of needs, renovation/construction of infrastructures and installing

management models.

2.1.2 Establishment of a Market Information System

Limited access to market information (prices, sources, demands and objective standards

for selling and buying animals, etc.) is a real constraint marketing livestock in the

ASALs. Improving the information flows to local producers will be an important

undertaking to improve market access. There are several market information systems

including the voluntary widely adopted use of mobile phone systems. However these

systems lack approaches that assure clear and harmonized definition of data, access to

reliable data and innovative ways of information dissemination and feeding systems.


The project will provide marketing information both nationally (Kenya) and at IGAD

level to enhance informed decision-making. IGAD will develop regional market

information platform that will enable the region to share marketing information. National

priority activities include:

1. Upgrade and integrate the National Livestock Marketing Information System with

the regional market information systems

2. Development of mechanisms for dissemination of the information through

electronic, print and verbal media.

3. Capacity building of pastoral populations and relevant stakeholders on marketing

information utilization and other aspects of livestock marketing and trade (auction

system, grading and certification, taxation, and legal procedures for export).

Sub component 2.2: Livestock Marketing support and Value Chain Development

The transfer of animals from the farm gates to the terminal markets is the major value

added activity along the value chain of the pastoral and agro-pastoral livestock systems.

Livestock marketing channels are segmented into domestic and cross-border sections.

Most of the producers market small quantities of livestock commodities and this happens

seasonally. The phenomena become a barrier to their participation in domestic as well as

the cross-border segments of the livestock markets.

Furthermore, while all traders (small, medium and large-scale) participate in the domestic

segment of the marketing chain, only large-scale traders get involved in the export

segment due to the huge initial capital investment In addition, there is very little presence

of processors in the marketing channels particularly the cross-border segment.

This project will address the value chain barriers through the following priority activities:

2.2.1: Model Cooperatives:

The project will develop model cooperatives capable of strengthening the sale and

marketing power of the small herding communities by selling to the producer association

for onward sale to exporters and processors. To achieve this out put the following

activities will be undertaken:

1. Develop Organizations’ model for coordinating sales of livestock to major

livestock buyers. Innovative approaches such as the experience of CARE in

Marsabit where community bank approaches were set to link the producers with

the market systems.

2. Build the capacity pastoralists on cooperative and contract marketing with other

market actors (Major abattoirs and exporters) and sensitize producers on benefits

of collective actions through cooperatives and producer associations.

2.2.2 Value Chain Development

Cross border Livestock Marketing Channels will be analyzed to isolate channels with

good prospects for value chain development, and for the promotion of high value

livestock commodities such as the “green livestock”. IGAD will Commission a study on

gap-analysis of regional value chains that would provide high impact on the livelihood of


pastoralists. In addition, IGAD will develop a training programme for member states on

cross-border values chains.

a) The following national activities will then be undertaken to achieve this output:

b) Conduct livestock market research using value chain approach

c) Develop value chains of selected cross border livestock products including

specialty livestock products (Organic/green meat)

d) Build capacities of market actors on cross-border value chains

2.2.3. Protection of pastoral assets

Livestock is both the principal asset and source of income for the vast majority of ASAL

residents. Drought is the single greatest cause asset loses through body condition loss and

livestock mortality. This imposes considerable economic and welfare costs on

pastoralists.

Conversion of livestock assets into other asset forms and sustainable insurance can

mitigate this risk and shock. This will support the food security strategy of the region by

sensitizing communities to sell livestock and use the money received to purchase

cereals/food at the most favorable terms of trade between livestock and cereals, and store

cereals/food. The following activities will be implemented:

a) Capacity building of pastoralists on alternative asset holding

b) Scaling up of grain storage and warehouse receipt systems

c) Popularizing and scaling up of the index based livestock insurance schemes

2.2.4 Financial systems to support livestock trade

Considering that lack of access to credit has been identified as major barrier to entry in

livestock marketing, and particularly international trade, efforts will be put in place to

provide a revolving fund where producers and traders can access financial capital.

Support financial service provision to small business particularly for women and young

people will go a long way in enhancing resilience. The project will:

a) Review existing financial access schemes and products to pastoralists and

livestock farmers and support improvement/up scaling of systems where relevant.

b) Improve access to financial products and services (banking and insurance) to low-

income urban and rural communities, through micro-finance and micro-insurance

initiatives.

Sub-component 2.3: Improving Livestock Mobility and Trade in Livestock and

Livestock Product The anticipated outcome of this subcomponent will be achieved through the

implementation of the following output

2.3.1: Trade policies and Regulatory framework of the Governments and Region

improved

IGAD will coordinate harmonization of regional trade policies for the member states to

trade with each other and with the outside world.

Then the country will achieve this output through the following activities:


a) Review, ratification and implementation of regional trade policies and protocols.

b) Review of national policies and regulations and aligning them with the regional

policies and protocols

c) Making the policy, legal and regulatory requirements accessible by livestock

marketing and trade participants.

d) Capacity building of relevant government officials and private sector people

working in the livestock trade on basic legal and regulatory requirements

2.3.2: Cross border food safety control of livestock products Improved

Uncontrolled cross border movement of livestock is a major barrier to trade in the region,

which could be overcome by harmonized legislation, regulation testing and certification

systems condoned by the countries in the region. In addition certification is an important

means of collection of valuable information to consumers about product quality and

safety. (E.g. food safety).

This output will be achieved by undertaking the following activities through the

application and scaling up the available innovations and practices such as Digital Pen and

Animal Identification and Traceability systems.

IGAD will Coordinate Setting and harmonizing cross-border trade SPS, and other trade-

facilitating tools. It will also coordinate regional diseases surveillance and laboratory

networks. In addition, IGAD, will coordinate development of harmonized livestock

identification, certification and traceability system

a) Implementation of the harmonized cross-border trade SPS, and other trade-

facilitating tools

b) Upgrading of veterinary laboratory services through provision of reagents,

equipment and training

c) Implementation of harmonized animal identification system and traceability

Component 3: Livelihoods Support; Investments

This component will address trans-boundary issues related to improved livestock

productivity (fodder/feed production, animal health and breed improvement) and

diversification (processing, non-livestock products, etc.). This component will

disseminate across participating countries existing and tested approaches and/or

technologies developed through research for the dry lands. The component will be

implemented under three key sub component namely; i) Livestock production and Health,

ii) Food and Feed Production and productivity, iii) Livelihood diversification. The

component activities include:

Construction/rehabilitation of communal demonstration permanent crushes

Construction/rehabilitation of Crushes

Pasture improvement (degrade range rehabilitation/ reseeding, pasture seeds

scheme)

Training and demonstration for households in different income generation

activities

Support appropriate alternative income generating enterprises for households

Field demonstration plots to be established

Construction/rehabilitation of Storage Facilities


Sub-component 3.1: Livestock Production and Health

The sub-component will be implemented through the following outputs:

3.1.1 Disease and vector surveillance and control services strengthened and

harmonized at national and regional levels

IGAD will convene meetings for harmonisation of regional policies (AU policy and

IGAD-LPI) and disease control protocols, vaccination programmes. IGAD will support

research in camel diseases

Under this sub component significant investment will be made on the national activities

including:

a) Aligning national policies with regional policies (AU policy, IGAD-LPI) and

cascade to the county governments; developing and strengthening regional

disease-surveillance (through work with FAO to scale up digital pen technology)

to monitor disease prevalence and spread;

b) Synchronized regional vaccination campaigns for identified major diseases such

as FMD, CBPP, CCPP and PPR in targeted areas;

c) Vector and pest control will be carried out through spraying, spot on or pour on,

traps and targets

d) Identify research institutions to collaborate in the camel diseases research

3.1.2 Capacity of the pastoral Community to access sustainable Animal Health

services enhanced

IGAD will set up platform for information sharing on best practices, innovation on

animal production and health delivery services

At the national level the following activities will be supported; (i) building the capacity of

the pastoral communities and animal health service providers to identify and report

occurrence of diseases; (ii) develop partnerships between the community, animal health

service providers and other stakeholders in order to facilitate provision of inputs and

services within the counties;

3.1.3 Indigenous Livestock Breeds Conserved

The ASAL areas are home to diverse and adapted livestock breeds, which can be used as

foundation stock for breed improvement programs. The diverse breeds occupy different

ecosystems and can be used to enhance resilience of pastoral communities

At the regional level IGAD will support harmonisation of breeding strategies for the

countries. At the National level the program will establish four sub-regional breeding

centres (SBC) to provide superior breeding material to individual pastoralists and the

community breeding programmes;

a) Develop community based livestock breeding programmes (CBLBP) for cattle,

camels, sheep and goats while incorporating indigenous knowledge);

b) Strengthen national focal point to develop breeding strategy; support breeder

organization to enhance data collection and maintain breed standards

c) Build capacity of communities for improved productivity using platforms such as

pastoral/farmer field days, schools (FFS/FPS) and farmer-farmer exchanges.


Sub-component 3.2: Food and Feed Production

The sub-component will be implemented at the national level through uptake of

technologies and best practices for up scaling to achieve the following outputs:

3.2.1. Availability and utilization of drought tolerant fodder

a) Drought tolerant fodder offers an opportunity for communities to build reserves to

combat drought. The sub-component will support the following activities:

b) Promote production, bulking and conservation of drought tolerant fodder for

livestock feeding in the agro-pastoral areas;

c) Support development of a food security reporting system to assess the

vulnerability of the communities; and

d) Construct model hay sheds and provide harvesting equipment at strategic

locations.

3.2.2. Investments in irrigation and irrigated agriculture enhanced

The following activities will be implemented:

a) Enhancing irrigation technologies along permanent water sources in the pastoral

areas for the cultivation of fodder crops to reduce vulnerability of communities

especially during prolonged dry spells;

b) Support distribution of certified fodder crop seeds and other inputs to improve

productivity, and

c) Establishment and capacity building of irrigation water users associations

(IWUA) to manage and ensure sustainability of the irrigation schemes.

Sub-component 3.3: Livelihood Diversification

Viable value chains on pastoral and agro-pastoral alternative livelihoods promoted

(e.g. hive products, Gums & Resins, Poultry, Medicinal plants, Fodder and Fish.

Under this component IGAD would facilitate the member states to carry out market

survey and identify international markets for identified products under this component.

The following national priority activities will be undertaken to achieve this output

a) Value chain analysis of identified possible alternative livelihood sources (e.g.

Honey, Gums and Resins, Poultry, Medicinal plants, fodder and fish) will be

carried out in order to minimize inefficiencies/losses thereby maximizing returns

for the different players involved.

b) Capacity building of communities on improved production using platforms such

as pastoral/farmer field days, schools (PFS/FFS) and farmer-farmer exchanges,

c) Support cottage industries for selected enterprises to improve market access;

develop training programs for communities on group dynamics and financial

management, and promote linkages to existing micro-financing institutions

d) Support capacity building on wildlife conservancy, livestock tourism and eco-

tourism.

Component 4: Pastoral Risk Management

This component will strengthen existing national early-warning and response systems in

the project districts and link them with a sub-regional under the IGAD platform. It is

aimed at helping pastoralists build resilience to drought and other climatic shocks. The


activities will harmonize the response to disasters in communities and other stakeholders,

including public institutions in charge of drought management, at the sub regional level.

This will be done by organizing joint sub-regional training and disseminating recognized

tools for drought response such as the “Livestock Emergency Guidelines and Standards”.

The activities will also support conflict management with particular focus on cross-

border issues, as livestock and access to natural resources (water and pasture), which are

the major drivers behind conflicts and security in the pastoral areas. Key subcomponent

activities include:

Support conflict management with particular focus on cross-border issues, as

livestock and access to natural resources (water and pasture), which are the major

drivers behind conflicts and security in the pastoral areas.

Readily avail, timely disseminate, and understood Early warning information

Harmonized and strengthen Drought Resilience Mechanism policies

Institutionalized effective responses to early warnings

Sub-Component 4.1: Pastoral Risk Early Warning and Response Systems

This subcomponent will aim at strengthening and harmonizing the EW and response

systems at the national and regional levels through two out puts. The sub-component will

involve institutions that have capacity in early warning on forage supply, water supply,

livestock market prices/volume, livestock movement, disease control, conflict resolution

and terms of trade –cereal prices. The institutions include technical departments such as

Livestock, Agriculture and Meteorology, East African early warning system

(www.glews.tamu.edu), National Livestock Marketing Information Center Kenya

(www.lmiske.net), waterhole monitoring for East Africa with NASA data

(www.watermon.tamu.edu), IGAD Climate Prediction and Application Centre

(www.icpac.igad.org) and our own National Drought Management Authority.

4.1.1 Early Warning Systems are strengthened and harmonized in the region; and

capacities are built / developed to turn early warning into action

Strengthening and harmonizing early warning in the region, and capacity building to turn

early warning into action. IGAD will coordinate, organize and facilitate capacity

building (workshops, study tours, trainings etc.) for national experts and senior officials

to enable knowledge and experience sharing to identify best practices, and develop a

harmonized methodology for risk profiling at regional level and train member states in

the use of the methodology , establish and operationalize a regional EWR platform to

collect and analyze information for dissemination to relevant national authorities to guide

action, establish and operationalize a regional EWR platform to collect and analyze

information for dissemination to relevant national authorities to guide action.

Interventions in national Early warning systems will be achieved through the

implementation of the following activities:

a) Expand sentinel sites to cover 60% of Kenya

b) Establish National Rapid Response Systems, Livestock-insurance schemes / pilot

projects for adoption in the region. Support and incorporate traditional EW

information and coping systems and integrate with the conventional EWS

c) Best practices and interventions acquired from the regional capacity building will

then be domesticated in the project area. Such innovations include financial risk

http://www.glews.tamu.edu/

http://www.lmiske.net/

http://www.watermon.tamu.edu/

http://www.icpac.igad.org/


transfers mechanisms (weather based Insurance) that has already been piloted and

may need scaling up. ,

d) Undertake national risk profiling e.g. natural hazards vulnerability, climate, and

institutional capacities and disseminated at all levels. IGAD to consolidate a

regional risk profile.

e) Dissemination of EW information through traditional vernacular media, print

media and website with the ultimate aim being linkage of early warning to action.

Link national platform to Regional EW platform.

4.1.2 Building capacity of communities to develop Contingency plans10

Developing and operationalization of contingency plans will be achieved through;

IGAD to organise regional training of trainers in formulation of contingency plans and

develop guidelines, training modules and capacity build trainers for contingency

planning, assess existing national structures’ response capacity and build where gaps

exist.

a) Strengthening contingency planning capacities of communities and stakeholders

by training different levels of implementers and beneficiaries at national level in

contingency planning

b) Formulation and dissemination of contingency plans at all levels.

c) The contingency plans will be submitted to IGAD for consideration and

compilation of regional contingency plans.

d) Internally assess existing national structures’ response capacity

e) The project will Support food security assessments and development of a

livestock food commodity balance sheet.

Subcomponent 4.2: Disaster Risk Management (DRM)

The objective of the DRM is to operationalize effective disaster risks management

policies and avail contingency funds. Three outputs are expected to be achieved namely;

4.2.1 Ex-ante risk reduction measures for effective disaster management developed

and implemented

This will entail supporting the following activities:

a) IGAD undertaking training of trainers (TOT) on DDRM-related key

guidelines/standards such as Livestock Emergency Guidelines and Standards

(LEGS)

b) As part of the Regional-national activities, this will entail supporting the

following activities:

c) TOTs will cascade the trainings at national levels.

d) Upscale disaster preparedness and mitigation measures through adopting research

and innovations at all levels as well as developing human capacity (education –

institutionalization of Livestock Emergency Guidelines and Standards (LEGS)

and Community Managed Disaster Risk Reduction (CMDRR). This will help

focus interventions to early warning.

e) Awareness creation of disaster risk management options among policy makers

10 Systems and capacities for effective response


4.2.2 DRM policies are harmonized, operationalized, mainstreamed and

institutionalized at the central and line ministry levels

a) To harmonize, operationalize, mainstream and institutionalize DRM policies, the

following activities will be undertaken;

b) Participate in regional workshops organized by IGAD for knowledge and

experience sharing on DRM policies and harmonize where possible.

c) Harmonizing DRM policy at the national and county.

d) Mainstream DDRM policies and strategies into all line ministries and institutions

4.2.3 Contingency Funds (regional & national) created and operationalized

a) Create mechanisms (fiduciary and administrative capacities) for receiving and

disbursing contingency funds. IGAD to building countries capacities to access the

IGAD regional DRM contingency fund (guidelines)

b) IGAD to support the development of DRM contingency fund guidelines and

country criteria for assessing those funds

Sub-Component 4.3: Climate Risk Management

The following priority outputs will be achieved,

4.3.1 Readily available and accessible drought related weather and climate

information (decision making processes to enhance resilience of livelihoods in the

ASALs research and analytical work on climate change including climate outlook)

are used in planning

Climate Risk Management strives to ensure that drought related weather and climate

information is readily available and accessible to the stakeholders. The project will

implement the following activities:

Link to Global framework for climate services (GFCS)

Facilitate workshops for identifying actionable elements from GFCS at the

regional level.

Implement climate change activities as identified at the regional forum at the

country level.

Adoption of research and innovations (advocate for conservation tillage, limited

burning and promote reforestation and use organic fertilizers) at all levels

(National )

4.3.2 Climate change management policies are incorporated into planning and

investments for pastoralists

The project will incorporate climate change adaptation policies into national planning and

budgeting in the various components in order to adapt and mitigate the effects of climate

change. This output will be achieved through Integration of climate change information

into early warning and information systems with emphasis on improving the integration

of climate change information into existing bottom-up and top-down early warning

systems (e.g. CBLEWS, ALRMP, FEWSNET, LINKS, LEWS, ICPAC and FAO

forecasts), and refining information formats and dissemination structures.


Project Beneficiaries

The project direct beneficiaries estimated at 92,29011

are the pastoral and agropastoral

communities susceptible to climate uncertainties and recurrent droughts. The

beneficiaries will be targeted based on informed processes and innovative tools (e.g.

PAPOLD, CMDRR, applying maps, GIS. remote sensing and ICT tools and resources) of

defining the biophysical areas that have direct or indirect impact on the ASALs

communities and ecosystems e.g. country, national and regional boundaries, trans-

boundary water and land resources, trans-boundary animal movement and livestock

trade areas, conflict areas and hotspots.

Figure 1. Project Targeted Counties

11

The population has been estimated from the proportion of the project investment (KES 6 billion) relative to the




WORLD BANK SAFEGUARD POLICY

The Involuntary Resettlement policy of the World Bank was reviewed in detail to

understand the project’s direct economic and social impacts that may be caused by

involuntary taking of land resulting in:

a) Relocation or loss of shelter;

b) Loss of assets or access to assets, or

c) Loss of income sources or means of livelihood, whether or not the affected

persons must move to another location.

The potential for involuntary restriction of access to legally designated areas and

protected areas resulting in adverse impacts on the livelihoods of the displaced persons

was also be assessed.

NEED FOR A RESETTLEMENT POLICY FRAMEWORK

The RPF derives from the World Bank’s Involuntary Resettlement Policy OP/BP/4.12,

which sets out safeguard measures where a bank-assisted project will involve involuntary

resettlement of persons to make way for implementation of the project, and where such

resettlement may result in loss of assets and create hardships for those being resettled.

The RPF provides the basis for preparing Resettlement Action Plans for individual sub-

projects once their location and scope are known.

PURPOSE OF THE FRAMEWORK

The purpose of this Resettlement Policy Framework is to establish the resettlement and

compensation principles, organizational arrangements, and design criteria to be applied to

meet the needs of the people who may be affected by the various sub-projects to be

implemented under the RPLRP. The RPF therefore is prepared to guide and govern

RPLRP as sub projects are selected for financing and sets out the elements that will be

common to all subprojects that will entail involuntary resettlement, which will not be

known by the time of project appraisal. In particular it will be used among others: -

To avoid, manage, and/or mitigate potential risks arising out of displacement.

To develop a Resettlement Action Plan and propose an implementation

framework for RAP.

OBJECTIVES OF THE RPF

The objectives of the Resettlement Policy Framework (RPF) are to:

1. Establish the resettlement and compensation principles and implementation

arrangements for RPLRP

2. Describe the legal and institutional framework underlying Kenyan approaches for

resettlement, compensation and rehabilitation;

3. Define the eligibility criteria for identification of Project Affected Persons (PAPs)

and entitlements;

4. Describe the consultation procedures and participatory approaches involving

PAPs and other key stakeholders;

5. Provision of procedures for filing grievances and resolving disputes; and

6. Development of an outline for the development of Resettlement Action Plans


SCOPE

The resettlement policy framework covers the following elements, consistent with the

provisions described in OP 4.12, paras. 2 and 4:

a) Description of the project and components for which land acquisition and

resettlement are required, and an explanation of why a resettlement plan is

required

b) Principles and objectives governing resettlement preparation and implementation;

c) Description of the process for preparing and approving resettlement plans;

d) Estimated population displacement and likely categories of displaced persons, to

the extent feasible;

e) Eligibility criteria for defining various categories of displaced persons;

f) Legal framework reviewing the fit between borrower laws and regulations and

Bank policy requirements and measures proposed to bridge any gaps between

them;

g) Methods of valuing affected assets;

h) Organizational procedures for delivery of entitlements, including, for projects

involving private sector intermediaries, the responsibilities of the financial

intermediary, the government, and the private developer;

i) Description of the implementation process, linking resettlement implementation

to civil works;

j) Description of grievance redress mechanisms;

k) Description of the arrangements for funding resettlement, including the

preparation and review of cost estimates, the flow of funds, and contingency

arrangements;

l) Description of mechanisms for consultations with, and participation of, displaced

persons in planning, implementation, and monitoring; and

m) Arrangements for monitoring by the implementing agency and, if required, by

independent monitors.

RESETTLEMENT IMPLICATIONS OF RPLRP

During the implementation of the RPLRP, particularly Component 1, 2, 3 and 4 specific

sub projects are likely lead to acquisition of a sizeable portion project sites. This is likely

to lead to land acquisition on a permanent or temporary basis and will likely livelihoods.

The impact will vary in degree depending on the nature of investment under the RPLRP.

For instance, the building of earth dams and other structures could result in the total loss

of land, assets, and livelihoods of the communities in the sub project area. Such sub

projects could require relocation and displacement. On the other hand, some investments

such as boreholes could cause land take and resettlement and impact livelihood, and may

not necessarily cause physical displacement of a great number of people.

At this point, the exact impact of the proposed sub projects under the project is not yet

known and it will only be known when sub projects are identified. Nonetheless, all or

part of the proposed sub projects may involve land acquisition and impact on livelihoods.

Cultural and community assets as well as spiritual sites may also be lost and some

communities may lose their farmlands permanently.


Due to the complex and varied nature of the proposed sub projects, the impact and the

severity of resettlement may also be very different. As a rule and in accordance with the

bank operational procedures on involuntary resettlement, each sub project, which may

affect land and assets, will trigger preparation of specific Resettlement Action Plan

(RAP) based on this RPF.

However, the level of detail and complexity of each RAP will depend on the investment

and type and the level of impact. The specific sub project RAPs, need to include detailed

baseline census and socio-economic survey information; specific compensation rates and

standards; policy entitlements related to any additional impacts identified through the

census or survey; description of resettlement sites and programs for improvement or

restoration of livelihoods and standard of the living; implementation schedule or

resettlement activities; and detail cost estimate. In addition, the RAP will include a

detailed description of the sub project and its impacts.

PROJECT IMPLEMENTATION

Insitutional And Implementation Arrangements

Project activities are implemented at (i) regional and/or (ii) Country (national and county)

levels.

The National Activities;

In Kenya, the department responsible for livestock development will be the project-

implementing agency at the national and county level. The department responsible for

livestock development will designate a project coordinator for the entire period of the

project. The project coordinator shall be responsible for the day-to-day coordination of

the entire project. There will also be Component Coordinators for the four components

of the project. And in line with Bank guidelines the GoK will also second an

environmental specialist with requisite qualifications. The necessary support staff,

including an accountant and a procurement specialist, will support the coordinator.

Project Steering Committees

The Project will be coordinated at the regional level through a regional coordination

committee under the auspices of IGAD. At the Country level, a National Project Steering

Committee will be established. It will be the technical coordination committee and will

comprise of relevant stakeholders (e.g. KCA, KARI, KWS, KLMC, KLBO ILRI and

Universities) and other relevant NGOs. The NSC will meet quarterly and be responsible

for approving: (i) the annual work plans and budgets before recommending their

endorsement by the Inter-Ministerial Coordination Committee (ICC), and (ii) monitoring

of the implementation progress and reporting. Membership of the committee will be

derived from relevant institutions including NDMA, and Research institutions. The

beneficiaries will be represented through pastoral associations and individuals identified.

The committee will be responsible for technical guidance for implementation of the

Kenya-RPLRP. Relevant Sub-committees will be formed to handle specific issues on

behalf of the Steering Committee. Decisions of the national steering committee will be

implemented by a project secretariat headed by the national project coordinator.


Other key roles of the NSC will be to spearhead formation of county project teams;

convene the project steering committee and other national meetings; Constitute the

national project Secretariat, Facilitate implementation of relevant project interventions in

the context of resilience to drought and sustainable livelihoods; and be the entry point for

development partners and other funding agencies in this project.

Like the National Project Steering committee, there will a County steering Committee

headed by and appointee of the Governor. A county project service committee (CPSC)

headed by a county project coordinator and comprising of all implementing agencies at

county level will be established. Their role will be to plan, budget and monitor

implementation of project activities at county level. The CPSC will link closely with

existing County stakeholder forums (including the ASAL stakeholder forum in the

respective county) for necessary input into project planning and re-planning. The

Secretariat of the CSC will be the county project coordination unit headed by the county

project coordinator (CPC).

The Agricultural Sector development project (ASDP) is spearheading establishment of

stakeholder forums and steering committees in the Agricultural sector in all counties of

the country including the project area. RPLRP will therefore utilize these committees and

forums. The implementation of project activities at the sub county level will be done

through sub-county service units (SCSU) coordinated by the County Project Coordinator.

PROJECT COORDINATION UNIT (PMU)

The project coordination unit will comprise of the National Coordinator, 4 project

component heads, M&E officer, community development Specialist, procurement

specialist and the project Financial Accountant as shown in the organizational structure in

Figure 1 below. The PMU will oversee the project implementation by backstopping and

facilitating the project implementation teams at counties and sub- counties to access the

project resources based on the approved activities.

Below is a flowchart showing the interactions of various players in the organization and

implementation structure of the Kenya- RPLRP.

Implementation Arrangements

General Organizational/Coordination and Implementation Structure of RPLRP

Figure 1: Organization Structure of RPLRP


Programmes Pastoralists, Pastoralists groups,

Beneficiaries, & community-based

institutions, traders

National Project

coordination unit (NPCU) Programme Coordinator,

Component heads (5), M&E,

Environment specialist,

Community development

specialist

Universities

Research Institutions

Livestock Extension

Pastoralists

organizations

Private Sector Agents

Civil Society

organizations

RPLRP Stakeholder

Constituencies

Core RPLRP Steering

Structures

RPLRP Coordination

Units

IGAD Platform,

National ASAL Platform

County RPLRP structure

County Steering Committees

(CSC) (15) Chair: executive member responsible

for maters of Livestock,

Implementing Departments, Private

Sector

County Coordination Units

(CCU) (15) County Coordinator, community

development officer, M& E Officers

National RPLRP structure

National Steering Committee

(NSC) Members: Collaborating Ministries

and institutions

County Project Service

Committees (CPSC) Field Implementation Agencies


4. METHODOLOGY & OVERVIEW OF IMPACTS

This Resettlement Policy Framework (RPF) was prepared using the following approaches

and methodologies;

DETAILED AND IN-DEPTH LITERATURE REVIEW

Existing baseline information and literature was reviewed in preparing this RPF.

Documents reviewed include:

Project Aide Memoire (AM)

Draft Project Appraisal Document (PAD)

Constitution of Kenya,

Government of Kenya Valuation Act

World Bank Involuntary Resettlement Operational Policy 4.12.

Land Act 2012

Land Registration Act 2012

Land Adjudication Act

National Land Commission Act

INTERACTIVE DISCUSSIONS

Stakeholder discussions in project targeted Counties are still on going at the time of

preparing this RPF and are being held/scheduled to be held in Laikipia, Isiolo,

Mandera, Narok, Kajiado, Tana River, West Pokot, Baringo and Lamu Counties.

Issues raised during the workshop are captured in Annex 9. Annex 10 and include

individual participants and institutions who attended the meeting.

DEFINITION OF PROJECT AFFECTED PERSONS

According to this RPF, Project Affected Persons (PAPs) are considered to be those who

stand to lose as a consequence of the project, all or part of their physical and non-physical

assets, including homes, communities, productive lands, resources such as forests, fishing

areas or important cultural sites, commercial properties, tenancy, income-earning

opportunities as well as social and cultural networks and activities. Such impacts may be

permanent or temporary. This might occur through land expropriation, using eminent

domain or other regulatory measures, and could include restricted or reduced access to

legally designated grazing and fishing areas and protected areas such as gazetted forests

as well as grazing land.

The RPF under this project applies to all economically and/or physically displaced

persons regardless of the total number of affected or the severity of impact and whether

or not PAPs have legal title to the land. Particular attention will be paid to the needs of

vulnerable groups among those economically and/or physically displaced especially those

below the poverty line, the landless, the elderly, women and children, including orphans,

marginalized groups and other historically disadvantaged groups or other economically

and/or physically displaced persons who may not be protected through Kenya’s land

compensation legislation.


PROJECT ACTIVITIES WITH DISPLACEMENT POTENTIAL

The sub projects envisaged to have displacement potential are listed below. The

following works will include both construction and /or rehabilitation of:

Earth dams

Water pans

Shallow Wells

Livestock Markets

Livestock Routes

Rangeland Grazing Areas

Livestock Quarantine and holding grounds

Small Scale Irrigation schemes

Boreholes

IMPLEMENTING AGENCIES (IA)

The list is not exhaustive and could include other ministries and agencies

Ministry of Water, Environment and Natural Resources (MWENR)

Ministry of Agriculture, Livestock and Fisheries (MALF)

Water Resources Management Authority (WRMA)

National Drought Management Authority (NDMA)

County Governments

CATEGORIES OF PAPS

The likely displaced persons (economically or physically) under various RPLRP sub

projects are categorized into three groups namely: -

Project affected persons (PAPs) are individuals whose assets may be lost and/or

affected, including land, property, other assets, livelihoods, and/or access to

natural and/or economic resources as a result of activities related to a given

investment under RPLRP.

Project affected households are groups of PAPs in one household and where one

or more of its members are directly affected by a given investment/sub project.

These include members like the head of household, male, and female members,

dependent relatives and members, tenants, etc.

Vulnerable groups who could be a member of affected households. The sub

projects will separately identify the vulnerable members, such as those who are

too old or too ill; children; those stricken with HIV/AIDS; women; unemployed

youth, and orphans; households headed by women that depend on sons, brothers,

and others needing support and are especially vulnerable. The vulnerable groups

are eligible for additional assistance under this RPF, as it is explained later in

Entitlement Matrix, Table 4.

The categories given above may not cover all types of affected persons. In addition, the

categories are not mutually exclusive. The RPLRP sub project activities should have

well-prepared and comprehensive RAPs that would be specific and comprehensive

enough, listing all affected groups and people and the impacts


Affected local community – A community is affected if project activities affect their

socio-economic and/or social-cultural relationships or cohesion. For example project

activities could lead into loss of welfare or cultural erosion, conflict etc. In addition, the

sub projects under RPLRP can cause breakdown of communities and social networks due

to physical separation as a result of the investment specific infrastructures if not

mitigated.

APPROXIMATE NUMBER OF PAPS

Determination of the number of PAPs is not possible at this time due to the nature of

RPLRP, which is a framework approach and as a result sub projects, which will be

funded under the RPLRP, have not been fully identified in terms of location, nature,

scope and magnitude. At this stage, sub project descriptions do not exist for any of the

sub project investments to allow estimation of number of the PAPs. The purpose of this

RPF is therefore to establish the mechanisms, procedures and principles for compensation

and livelihood restoration for all potentially affected people under RPLRP and guide the

preparation of the RAPs for individual investments under RPLRP.

Each sub-project investment which might require physical and/or economic resettlement,

the number of PAPs will be established through the census which will be undertaken as

part of the preparation of the investment specific RAP.

POTENTIAL RELOCATION AREAS

During the development of RPLRP investments, location for resettlement if necessary

will be identified during the development of the sub project specific RAPs by National

Land Commission and the Sub County and Locational Resettlement and Compensation

Committee (SCRCCs and LRCCs) (explained later in the document) and project affected

persons.


5. PRINCIPLES & OBJECTIVES GOVERNING RESETTLEMENT

PREPARATION & IMPLEMENTATION

This RPF applies to all components of the various sub project investments under the

RLPRP. It applies to all eligible persons regardless of the severity of impact and whether

or not they have legal title to land.

THE OBJECTIVES OF THE RESETTLEMENT POLICY FRAMEWORK (RPF)

The objectives of the RPF are to:

Establish the RLPRP resettlement and compensation principles and

implementation arrangements;

Describe the legal and institutional framework underlying Kenyan approaches for

resettlement, compensation and rehabilitation;

Define the eligibility criteria for identification of PAPs and entitlements;

Describe the consultation procedures and participatory approaches involving

PAPs and other key stakeholders; and

Provide procedures for filing grievances and resolving disputes.

The RPF will apply to all sub projects, which will be financed under the RLPRP. The

procedures will be carried out throughout preparation and implementation of the sub

projects, and impacts of any potential resettlement will be included in monitoring and

evaluation (M&E). When a sub project RAP is required, it will be prepared in

accordance with guidance provided in this RPF. The RPF follows the guidance provided

in the World Bank Operational Policy on Involuntary Resettlement (OP4.12), as

described in Annex 8 as well as Kenyan laws related to land acquisition.

The RPF ensures that any possible adverse impacts of sub project activities are addressed

through appropriate mitigation measures, in particular, against potential impoverishment

risks. These risks can be minimized by:

Avoiding displacement of people without a well-designed compensation and

relocation process;

Minimizing the number of PAPs, to the extent possible;

Compensating for losses incurred and displaced incomes and livelihoods; and

Ensuring resettlement assistance or rehabilitation, as needed, to address impacts on

PAPs livelihoods and their wellbeing.

RATIONALE FOR PREPARING THE RPF

Given the nature of the RLPRP, sub projects have not been identified at the time of

preparation of this RPF. This RPF therefore will be the basis for preparing the project

investments specific RAPs. The RPF will set out the procedures for the development of

more detailed RAPs for those investments/sub projects and associated facilities that have

an impact on land, assets, and livelihoods. The RPF ensures that any possible adverse

impacts are addressed through appropriate mitigation measures, in particular, against

potential impoverishment risks.


FLEXIBILITY OF THE RPF

Since this RPF is prepared for a 5-year program it needs to be flexible to respond to the

changes, which may happen during the life of the RLPRP. Such changes will include:

Changes in relevant legislations; introduction of new acts and legislations;

The upcoming constitutional reforms which includes reforms in the water and

land sector which may affect existing ministerial arrangements,

Possible adjustments to the new devolved structures etc.

As a result, Mid-Term Review (MTR) will be carried out to assess how effectively the

safeguard instruments have been implemented and if any updates/revisions are required.

In other words, the RPF is a living document and if need be, will be revised to reflect

issues that may not have been foreseen now but may arise in the future as well as reflect

legal, institutional, and policy changes that could occur during the life of the program. In

addition, in the event that there are changes that arise anytime during the implementation

of the program not covered in the RPF, the document will be updated accordingly.

RPF PRINCIPLES UNDER RPLRP

1. Involuntary resettlement and land acquisition will be avoided where feasible, or

minimized, where it cannot be eliminated.

2. This RPF applies to all PAPs regardless of the total number affected, the severity

of the impact and whether or not they have legal title to the land. Informal or

customary tenure is to be treated in the same manner as formal, legal titles.

3. Where involuntary resettlement and land acquisition are unavoidable, resettlement

and compensation activities will be conceived and executed as sustainable

development programs, providing resources to give PAPs the opportunity to share

project benefits.

4. PAPs will be meaningfully consulted and will participate in planning and

implementing of the resettlement activities.

5. PAPs will be assisted in their efforts to ideally improve their livelihoods and

standards of living or at least to restore them, in real terms, to pre-displacement

levels or levels prevailing prior to the beginning of the project implementation,

whichever is higher.

6. Measures to address resettlement shall ensure that project affected peoples are

informed about their options and rights pertaining to resettlement, are included in

the consultation process and given the opportunity to participate in the selection

of technically and economically feasible alternatives. They will also be provided

prompt and effective compensation at full replacement cost for losses of assets

and access attributable to the project investments.

7. Projected affected persons if resettled will be supported to integrate economically

and socially into host communities so that adverse impacts on host communities

and vice versa are minimized. To this end, appropriate patterns of social


organization will be promoted and existing social and cultural institutions of

PAPs will be supported to the greatest extent possible.

8. All PAPs will be identified and recorded as early as possible, preferably at project

investment identification stage, in order to protect those affected by the project

and prevent an influx of illegal encroachers, squatters, and other non-residents

who will wish to take advantage of such benefit.

9. Particular attention will be paid to the needs of vulnerable groups among those

displaced; especially those below the poverty line, the landless, the elderly,

women and children, orphans, marginalized groups and the ethnic minorities or

other displaced persons who may not be protected through the Kenyan law. The

objective is to provide whatever additional assistance may be necessary to restore

pre-project living standards.

10. The implementation of individual RAPs must be completed prior to the

implementation of the investments under RLPRP.

Furthermore, this RPF applies to other activities resulting in involuntary resettlement,

that in the judgment of the Bank are a) directly and significantly related to RLPRP

investments; b) necessary to achieve its objectives as set forth in the project documents;

and c) carried out, or planned to be carried out, at the same time as the project.

As noted above, investments under RLPRP will avoid or at least minimize involuntary

resettlement to the extent possible. However, where it is unavoidable, appropriate

measures to mitigate adverse impacts will be carefully planned and implemented

following the general framework outlined in this document.

INVOLUNTARY RESETTLEMENT

Involuntary resettlement, if left unmitigated, normally gives rise to severe economic,

social, and environmental risks. People face impoverishment when their productive assets

or income sources are lost and social networks are weakened. Some of the impacts of

resettlement, if not mitigated, include: (a) Landlessness (b) Joblessness (c)

Homelessness (d) Marginalization (e) Increased morbidity and mortality (f) Food

insecurity (g) Educational loss (h) Loss of access to common property and (i) Social

displacement.


ENTITLEMENT UNDER RPF

Physical Displacement

If people must move to another location due to the implementation of a sub project under

RLPRP, the GoK, through the Implementing Agency (IA) with engagement of National

Land Commission12

(NLC) as is required by the Land Act 2012 will ensure that just

compensation is provided. This RPF offers displaced persons choices among others

feasible resettlement options, including adequate replacement housing, land or cash

compensation based on the replacement cost where appropriate. In accordance with

OP.4.12, displaced PAPs will also be provided full relocation costs above the

compensation amount. Particular attention will be paid to the needs of the poor and the

vulnerable, who will be assisted through capacity empowerment during the RAP

implementation to adapt to new environments.

In the case of physically displaced persons with recognized or recognizable rights, the

project will offer the choice of replacement property of at least equal value, equivalent or

better characteristics and equal or better location or cash compensation at full

replacement value. Replacement value includes all the expenses which replacing a

property will cost. Where displaced persons own and occupy structures, the project will

compensate them for the loss of assets other than land, such as dwellings and other

improvements to the land, at full replacement cost.

Compensation in kind may be offered in lieu of cash compensation based upon mutual

agreement between the EA and PAPs as provided for by the Land Act 2012. The Land

Act 2012, the legal instrument governing land acquisition and compensation in Kenya,

specifies that all PAPs must receive just compensation. It is specific in regard to costs

related to moving, disturbances, and legal fees for land transactions of the PAPs. This

presents a gap where if not properly interpreted may not see the PAPs getting

compensation for the above-related costs unless the Bank procedures are followed. For

that reason, in all instances where compensation will be undertaken, unless the

interpretation of just compensation by NLC is taken to mean all other related costs of

relocation mentioned above then the Bank policies will apply and will require that these

costs are fully met by the implementing agency.

Economic displacement

The Land Act 2012, Part VIII, section 111 and 125, talks of just, full and prompt payment

in the assessment of NLC in case of economic displacement. There is no specific

mention of moving allowance and disturbance allowance as part of the compensation.

Again, as highlighted above unless “just payment” is interpreted to include related costs

of economic displacement, the bank procedures that provide for the same will be

followed instead of the host country regulation. If land acquisition for a given sub project

funded under RLPRP causes loss of income or livelihood, regardless of whether or not

the affected people are physically displaced, the project will meet the following

requirements:-

a) Promptly compensate economically displaced persons for loss of assets or access

to assets at full replacement cost;

12 National Land Commission (NLC) is the legally constituted body authorized to undertake or give approval to

compulsory acquisition of Land, according to Land Act 2012.


b) In cases where land acquisition affects commercial structures, compensate the

affected business owner for the cost of re-establishing commercial activities

elsewhere, for lost net income during the period of transition, and for the cost of

transfer and reinstallation of plants, inventory, machinery and other equipment;

c) Provide replacement property (e.g., agricultural or commercial sites) of equal or

greater value, or cash compensation at full replacement cost where appropriate,

to persons with legal rights or claims to land which are recognized or

recognizable;

d) Compensate economically displaced persons who are without legally

recognizable claims to land for lost assets (such as crops, irrigation

infrastructure and other improvements made to the land) other than land, at full

replacement cost;

e) Provide additional targeted assistance (e.g. credit facilities, training or job

opportunities) and opportunities to improve or at least restore their income-

earning capacity, production levels, and standards of living to economically

displaced persons whose livelihoods or income levels are adversely affected;

f) Provide transitional support to economically displaced persons, as necessary,

based on a reasonable estimate of the time required to restore their income

earning capacity, production levels, and standards of living.

In particular, the taking of land and related assets will take place only after full

compensation has been paid and where applicable, resettlement sites, new homes, related

infrastructure, public services and relocation costs have been provided to economically or

physically displaced persons.


6. LEGAL AND REGULATORY FRAMEWORK

The chapter sets out the legal operating environment for acquisition of land as anticipated

in the implementation of the RLPRP. The chapter seeks to highlight major issues related

to Kenya’s land legislation with regards to compulsory land acquisition and involuntary

resettlement. It provides a brief overview of Kenya’s Land Policy, Kenyan Constitution

2010 and related provisions connected with land use, planning, acquisition, management

and tenure, and more specifically the legislation related with land expropriation or

acquisition, land valuation and land replacement. The chapter compares the Kenyan

legislation with the World Bank provisions on resettlement, with gaps highlighted and

recommendations drawn to fill gaps.

Table 1. Summary of relevant legal statutes applicable to RPLRP

Legal Framework Functional Relationship to Resettlement

Constitution of Kenya 2010 Constitution of Kenya 2010 recognizes

individuals’ right to acquire and own property

provided they are citizens of the country in

article 40. However, Article 66 of the same

provides for the State to regulate the manner in

which these rights may be curtailed for the

benefit of the general public. Article 47 of the

Constitution provides for administrative action

to override the individual rights but the victim

has to be given written reason for the action

taken that undermines the right.

The Land Act 2012 Laws of Kenya It is the substantive law governing land in

Kenya and provides legal regime over

administration of public and private lands. It

also provides for the acquisition of land for

public benefit. The government has the powers

under this Act to acquire land for projects,

which are intended to benefit the general public.

The projects requiring resettlement are under the

provision of this Act.

Land Registration Act, 2012 The law provides for the registration of absolute

proprietorship interests over land (exclusive

rights) that has been adjudicated or any other

leasehold ownership interest on the land. Such

land can be acquired by the state under the Land

Act 2012 in the project area.

National Land Commission Act 2012 The act establishes the National Land

Commission with the purpose of managing

public land and carrying out compulsory

acquisition of land for specified public purposes.

The Land Adjudication Act Chapter

95 Laws of Kenya

Provides for ascertainment of interests prior to

land registrations under the Land Registration

Act 2012 through an adjudication committee

that works in liaison with adjudication officers.

The Valuers Act 532 The act establishes valuers registration board,

which has the responsibility of regulating the


activities and conduct of registered valuers in

accordance with the provision of the act.

Environment and Land Court Act,

2011

This act establishes Environment and Land

Court, a court with status of high court, which

shall facilitate the just, expeditious,

proportionate, and accessible resolution of

disputes related to land and environment,

including compulsory land acquisition, land

tenure, titles, boundaries, compensation,

valuations, rates, land use and environmental

planning.

Community Land Bill 2011 Provides for allocation, management and

administration of community land. Establishes

Land Allocation Committees and Community

Land Board

THE NATIONAL LAND POLICY

The National Land Policy (“NLP” or “Policy”)13

was adopted in August 2009 with the

aim of providing an overall framework for new legislation and defining key measures

required to address critical issues such as land administration, access to land, land use,

and restitution related to historical injustices and an outdated legal framework. The NLP

addresses constitutional issues such as compulsory acquisition and development

control.14

Section 45 of the NLP defines compulsory acquisition as “the power of the

State to extinguish or acquire any title or other interest in land for a public purpose,

subject to prompt payment of compensation.”15

Under the current Constitution,16

the

Land Act 2012 empowers the National Land Commission (under the guidance of

Minister for Lands) to exercise the power of compulsory acquisition on behalf of the

State.17

Similarly, the NLP empowers the National Land Commission to compulsorily

acquire land.18

According to the NLP, the exercise of compulsory acquisition in the past has been

conducted with abuses and irregularities.19

The NLP therefore calls for a revision of such

power and requires the GoK:

1. To review the law on compulsory acquisition to align it with the new categories of

land ownership (public, private and community land);20

2. To harmonize the framework for compulsory acquisition to avoid overlapping

mandates;21

13 Sessional Paper No. 3 of 2009 on National Land Policy (referred to as the “National Land Policy” in this report) was

adopted in August 2009 by the Ministry of Lands. Available at

http://www.lands.go.ke/index.php?option=com_content&task=view&id=238&Itemid=48, accessed May 25, 2011. 14 Development control is the power of the State to regulate the property rights in urban and rural areas and is derived

from the State’s responsibility to ensure that the use of land promotes the public interest. 15 Sessional Paper No. 3 of 2009 on National Land Policy, § 45. 16 The Constitution of Kenya, 1963, was replaced in 2010. 17 Land Act, § 6, 2012. 18 Sessional Paper No. 3 of 2009 on National Land Policy. §233(d). 19 Id. at Chapter 3.2.1.1, article. 46. 20 Id. at Chapter 3.2.1.1, article. 47(a). 21 Id. at Chapter 3.2.1.1, article. 46 and 47(b). Under the previous Constitution, Chapter IX (Trust Land), Art. 18, the

President and local authorities had the power to set apart Trust Land for the purposes of the Government of Kenya or

http://www.lands.go.ke/index.php?option=com_content&task=view&id=238&Itemid=48


3. To establish compulsory acquisition criteria, processes and procedures that are

efficient, transparent and accountable;22

4. To institute legal and administrative mechanisms for the exercise of the power of

compulsory acquisition by the State through the National Land Commission;23

and

5. To confer pre-emptive rights on the original owners or their successor in title

where the public purpose or interest justifying the compulsory acquisition fails or

ceases.24

THE CONSTITUTION OF KENYA

The Constitution of Kenya, 2010,25

protects the sanctity of private property rights and

states that no property can be compulsorily acquired by the Government except in

accordance with law.26

Article 40(3) states:

“The State shall not deprive a person of property of any description, or of any interest in,

or right over, property of any description, unless the deprivation” –

a) Results from an acquisition of land or an interest in land or a conversion of an

interest in land, or title to land, in accordance with Chapter Five; or

b) Is for a public purpose or in the public interest and is carried out in accordance

with this Constitution and any Act of Parliament that –

(i) Requires prompt payment in full, of just compensation to the person;

and

(ii) Allows any person who has an interest in or right over, that property a

right of access to a court of law.27

The Constitution empowers the state to exercise the authority of compulsory acquisition.

Land Act, 2012 designates the NLC as the institution empowered to compulsorily acquire

land.28

Article 40 of the Constitution provides that the state may deprive owners of

property only if the deprivation is "for a public purpose or in the public interest," but

neither the Constitution nor any law provides an exclusive list of permissible public

purposes or interests. The state's exercise of this power is left at the discretion of NLC,

and requires the state to make full and prompt payment of "just compensation" and an

opportunity for appeal to court.

Article 40(3)(a) refers to acquisition and conversion of all kinds of land in Kenya

(private, public, community land and foreign interests in land). The Constitution further

provides that payment of compensation shall be made to “occupants in good faith” of

any corporate body established by an Act of Parliament, or companies which shares are held on behalf of the GoK and

for extraction of minerals and oils. This power does not exist under the new Constitution. Under the Government

Lands Act, the President has special powers with regards to government land, and he may exercise these powers

through the Commissioner of Lands. (Government Lands Act, Chapter 280, §3.) 22 Sessional Paper No. 3 of 2009 on National Land Policy, Chapter 3.2.1.1, § 47(c). 23 Id. at Chapter 3.2.1.1, p. 47(d). 24 Id. at Chapter 3.2.1.1, §47(e). 25 The Constitution of Kenya, 2010, was adopted by the Government of Kenya on 27 August 2010. The full text is

available at http://www.kenyalaw.org/klr/fileadmin/pdfdownloads/Constitution/Constitution_of_Kenya2010.pdf,

accessed May 25, 2011. 26 Constitution of Kenya, art. 40. 27 Id. 28 The Land Act, 2012 The Government of Kenya, Section 8.

http://www.kenyalaw.org/klr/fileadmin/pdfdownloads/Constitution/Constitution_of_Kenya2010.pdf


land acquired by the state who do not hold title for such land.29

An occupant in good faith

is a “bona fide” occupant. On the other hand, under the Constitution, those who have

acquired land illegally are not regarded as deserving any compensation.30

In addition to Article 40, Chapter 5 of the Constitution is relevant to compulsory

acquisition. This chapter, entitled "Land and Environment," is divided into two parts.

Part 1 deals with land, and Part 2 deals with environment and natural resources. Part 1 of

Chapter 5, articles 60 – 68, describes the principles of land policy. Land should be held,

used and managed in a manner that is equitable, efficient, productive and sustainable and

in accordance with security of land rights, sound conservation and protection of

ecologically sensitive areas.31

These principles must be implemented through a national

land policy reviewed regularly by the national government and through legislation.32

LAND TENURE SYSTEM IN KENYA

Land tenure in Kenya is classified as public, community or private.33

Public land consists

of government forests (other than those “lawfully held, managed or used by specific

communities as community forest, grazing areas or shrines”34

), government game

reserves, water catchment areas, national parks, government animal sanctuaries and

specially protected areas.35

The National Land Commission (NLC) will manage public

land.36

Community land includes land that is “lawfully held, managed or used by specific

communities as community forest, grazing areas or shrines,” and “ancestral lands and

lands traditionally occupied by hunter-gatherer communities.”37

Rights are also held

through traditional African systems, and rights that derive from the English system

introduced and maintained through laws enacted by colonial and then the national

parliament. The former is loosely known as customary tenure bound through traditional

rules (customary law). The latter body of law is referred to as statutory tenure, secured

and expressed through national law, in various Act of parliament e.g. Land Act 2012,

Land Registration Act, 2012, Trust Land Act (cap 288) of the Laws of Kenya.)

Customary Land Tenure

This refers to unwritten land ownership practices by certain communities under

customary law. Kenya being a diverse country in terms of its ethnic composition has

multiple customary tenure systems, which vary mainly due to different agricultural

practices, climatic conditions and cultural practices. However most customary tenure

systems exhibit number of similar characteristics as follows:

First, individuals or groups by virtue of their membership in some social unit of

production or political community have guaranteed rights of access to land and

other natural resources.

Individuals or families thus claim property rights by virtue of their affiliation to

the group.

29 Constitution of Kenya. Id. at art. 40(5). 30 Constitution of Kenya. Id. at art. 40(6). 31 Id. at art. 60. 32 Id. at art. 60(2). 33 Id. at art. 61. 34 Id. at art. 63(d)(i). 35 Id. at art. 62(g). 36 Id. at arts. 62(3), 67(2)s (a). 37 Id. at art. 63(d)(i) and (ii).


Freehold Tenure

This tenure confers the greatest interest in land called absolute right of ownership or

possession of land for an indefinite period of time, or in perpetuity. Freehold land is

governed by the Land Registration Act, 2012. The Act provides that the registration of a

person as the proprietor of the land vests in that person the absolute ownership of that

land together with all rights, privileges relating thereto. A freehold title generally has no

restriction as to the use and occupation but in practice there are conditional freeholds,

which restrict the use for say agricultural or ranching purposes only. Land

individualization was demanded by the colonial settlers who required legal guarantee for

the private ownership of land without which they were reluctant to invest.

Leasehold Tenure

Leasehold is an interest in land for a definite term of years and may be granted by a

freeholder usually subject to the payment of a fee or rent and is subject also to certain

conditions which must be observed e.g. relating to developments and usage. Leases are

also granted by the government for government land, the local authorities for trust land

and by individuals or organizations owning freehold land. The maximum term of

government leases granted in Kenya is 99 years for agricultural land and urban plots.

There are few cases of 33 years leases granted by government in respect of urban trust

lands. The local authorities have granted leases for 50 and 30 years as appropriate.

Public Tenure and the National Land Commission (NLC)

This is where land owned by the Government for her own purpose and which includes

unutilized or un-alienated government land reserved for future use by the Government

itself or may be available to the general public for various uses. The land is administered

under the Land Act 2012. These lands were vested in the president and who has,

normally exercised this power through the Commissioner of Lands, to allocate or make

grants of any estates, interests or rights in or over un-alienated government land.

However the new constitution grants those rights to the NLC which is governed by the

National Land Commission Act, 2012 that specifies the role of NLC as:

To identify public land, prepare and keep a database of all public land, which

shall be geo-referenced and authenticated by the statutory body responsible for

survey;

Evaluate all parcels of public land based on land capability classification, land

resources mapping consideration, overall potential for use, and resource

evaluation data for land use planning; and

Acquire land for public purposes

Solve land disputes and deal with historical land injustices

Share data with the public and relevant institutions in order to discharge their

respective functions and powers under this Act; or

May require the land to be used for specified purposes and subject to such

conditions, covenants, encumbrances or reservations as are specified in the

relevant order or other instrument.

Categories of government land include forest reserves, other government reserves,

alienated and un-alienated government land, national parks, townships and other urban


centers and open water bodies.’ The Government Lands Act does not contain any notion

of trusteeship by government of the land to her people.

Notwithstanding the foregoing, it is a common law doctrine to the effect that common

property resources such as rivers, forests and parks are held by the state in trust for the

general public. Consequently, the state cannot alienate these resources or use them in a

way detrimental to public interest. This is the doctrine that would ensure that public land

cannot be alienated or committed to waste to the detriment of public interest. It is the

case that the statutory framework for land ownership in Kenya is heavily influenced by

common law jurisprudence on land ownership-the owner’s rights include the rights of use

and abuse. In Kenya however, the development of physical planning legislation has

vested in the state the cumulative rights of other landowners. The regulatory power is

referred to as police power.

LAND ACT, 2012

The Land Act 38

is the Kenya’s framework legislation regulating compulsory acquisition

of land (i.e. land, houses, easements etc.). The LA was adopted on 2nd

May 2012 and

provides for sustainable administration and management of land and land based resources

including compulsory acquisition. The Act is based on the 2010 Constitution that

recognizes the rights of the landowner and the necessity for fair and just compensation.39

LAND ACQUISITION PROCESS

Proof that compulsory possession is for public good

It is very explicit in the Land Act, 2012, Section 107, that whenever the national or

county government is satisfied that it may be necessary to acquire some particular land

under section 110 of Land Act 2012, the possession of the land must be necessary for

public purpose or public interest, such as, in the interests of public defence, public safety,

public order, public morality, public health, urban and planning, or the development or

utilization of any property in such manner as to promote the public benefit; and the

necessity therefore is such as to afford reasonable justification for the causing of any

hardship that may result to any person having right over the property, and so certifies in

writing, possession of such land may be taken.

Respective Government agency or cabinet must seek approval of NLC

The respective Cabinet Secretary or Government agency or the County Executive

Committee Member must submit a request for acquisition of private land to the NLC to

acquire the land on its behalf. The NLC will prescribe a criteria and guidelines to be

adhered to by the acquiring authorities in the acquisition of land. But at the same time

the NLC may reject a request of an acquiring authority, to undertake an acquisition if it

establishes that the request does not meet the requirements prescribed.

Inspection of Land to be acquired

NLC may physically ascertain or satisfy itself whether the intended land is suitable for

the public purpose that the applying authority intends to use as specified. If it certifies

that indeed the land is required for public purpose, it shall express the satisfaction in

38 Land Act, 2012. 39 The Constitution of Kenya, 2010 recognizes prompt and just compensation when compulsory acquisition of land is

made.


writing and serve necessary notices to land owners and or approve the request made by

acquiring authority intending to acquire land.

Publication of notice of intention to acquire

Upon approval, NLC shall publish a notice of intention to acquire the land in the Kenya

Gazette and County Gazette.40

It will then serve a copy of the notice to every person

interested in the land and deposit the same copy to the Registrar41

The courts have strictly

interpreted this provision, requiring that the notice include the description of the land,

indicate the public purpose for which the land is being acquired and state the name of the

acquiring public body.42

NLC will therefore be required to make a comprehensive notice

that includes description of land, public purpose for which the land is acquired and the

acquiring public body.

The Land Registrar shall then make entry in the master register on the intention to

acquire as the office responsible for survey, at both national and county level, geo-

references the land intended for acquisition.

Serve the notice of inquiry

Thirty days after the publication of the Notice of Intention to Acquire, the NLC then

schedules a hearing for public inquiry. NLC must publish notice of this hearing in the

Kenya Gazette and County gazette 15 days before the inquiry meeting and serve the

notice on every person interested in the land to be acquired. Such notice must instruct

those interested in the land to deliver to the NLC, no later than the date of the inquiry, a

written claim for compensation.43

Holding of a public hearing

The NLC convenes a public hearing not earlier than 30 days after publication of the

Notice of Intention to Acquire. On the date of the hearing, the NLC must conduct a full

inquiry to determine the number of individuals who have legitimate claims on the land,

the land value and the amount of compensation payable to each legitimate claimant.44

Besides, at the hearing, the Commission shall— make full inquiry into and determine

who are the persons interested in the land; and receive written claims of compensation

from those interested in the land. For the purposes of an inquiry, the Commission shall

have all the powers of the Court to summon and examine witnesses, including the

persons interested in the land, to administer oaths and affirmations and to compel the

production and delivery to the NLC of documents of title to the land. The public body

for whose purposes the land is being acquired, and every person interested in the land, is

entitled to be heard, to produce evidence and to call and to question witnesses at an

40 The Kenya Gazette is the official government journal in Kenya published by the Government Printing Press. 41 Land Act, 2012, 107 42 Government of Kenya 1994. Coastal Aquaculture Limited v. The Commissioner of Lands and Settlement and the

Minister of Lands and Settlements. Mombasa H.C. Misc. Appl., No. 55 of 1994,

http://www.kenyalaw.org/CaseSearch/case_download.php?go=97115264151454584840489&link=, accessed May 25,

2011.

This ruling was upheld by the Court of Appeal. Coastal Aquaculture Limited v. the Commissioner of Lands and

Settlement and the Minister of Lands and Settlements. Nairobi. No. 252 of 1996,

http://www.kenyalaw.org/CaseSearch/view_preview1.php?link=49186237036025529910634, accessed May 25, 2011. 43 Land Act, 2012 (112).

44 Id. at article 112.

http://www.kenyalaw.org/CaseSearch/case_download.php?go=97115264151454584840489&link=

http://www.kenyalaw.org/CaseSearch/view_preview1.php?link=49186237036025529910634


inquiry. It will also provide opportunity to those interested in the land to hear the

justification of the public authority in laying claims to acquire the land.

Valuation of the land

Part III of the Land Act 2012, section 113 (2a) states that “the Commission shall

determine the value of conclusive evidence of (i) the size of land to be acquired; (ii) the

value, in the opinion of the Commission, of the land; (iii) the amount of compensation

payable, whether the persons interested in the land have or have not appeared at the

inquiry.” This can be interpreted that NLC must determine the value of the land

accordingly and pay appropriate just compensation in accordance with the principles and

formulae stipulated that it will develop. Nonetheless, just compensation could also be

interpreted as market rated. The final award on the value of the land shall be determined

by NLC and shall not be invalidated by reason of discrepancy, which may be found to

exist in the area.

Matters to be considered in determining compensation:

Market value of the property, which is determined at the date of the publication of the

acquisition notice.45

Determination of the value has to take into consideration the

conditions of the title and the regulations that classify the land use e.g. agricultural,

residential, commercial or industrial. Increased market value is disregarded when:

It is accrued by improvements made within two years before the date of the

publication of the acquisition notice, unless it is proved that such improvement

was made in good faith and not in contemplation of the proceedings for

compulsory acquisition.

It is accrued by land use contrary to the law or detrimental to the health of the

occupiers of the premises or public health.

Any damages sustained or likely to be sustained by reason of severing such land

from other land owned by the claimant.

Any damage sustained or likely to be sustained if the acquisition of the land had

negative effects on other property owned by the claimant.

Reasonable expenses, if as a consequence of the acquisition, the claimant was

compelled to change his residence or place of business (i.e., compensation for

disruption to the claimant’s life).

Any damage from loss of profits over the land occurring between the date of the

publication of the acquisition notice and the date the Commissioner takes

possession of the land.46

Matters not to be considered in determining compensation:

a) The degree of urgency, which has led to the acquisition.

b) Any disinclination of the person’s interest to part with the land.

c) Damages sustained by the claimant, which will not represent a good cause of

action.

d) Damages which are likely to be caused to the land after the publication of the

acquisition notice or as a consequence of the future land use.

e) Increased land value accrued by its future use.

45 Id. at article 112 and article 111. 46 Schedule 2 governing compensation.


f) Any development at the time of acquisition notice, unless these improvements

were necessary for maintaining the land.47

Award of compensation

Under the Land Act 2012 section 117, the State may award a grant of land in lieu of

money compensation (“land for land”), upon agreement, and provided the value of the

land awarded does not exceed the value of the money compensation that would have been

allowable.48

The law stipulates that any dispossessed person shall be awarded the market

value of the land.49

The new law is silent on relocation support or disturbance allowance

support.

Upon the conclusion of the inquiry, and once the National Land Commission (NLC) has

determined the amount of compensation, the NLC prepares and serves a written award of

compensation to each legitimate claimant.50

The NLC will publish these awards which

will be considered “final and conclusive evidence” of the area of the land to be acquired,

the value of the land and the amount payable as compensation.51

LA, Section 115 further

stipulates that an award shall not be invalidated by reason only of a discrepancy between

the area specified in the award and the actual area of the land. Compensation cannot

include attorney’s fees, costs of obtaining advice, and costs incurred in preparing and

submitting written claims.

Payment of Compensation

A notice of award and offer of compensation shall be served to each person by the

Commission. Section 120 provides that “first offer compensation shall be paid promptly”

to all persons interested in land52

before a notice of acquisition is issued. Section 119

provides a supplementary condition and states that if the size of land is greater than the

size of land in respect of which the award has been made, then NLC shall compensate for

excess size “as soon as practicable.”53

Where such amount is not paid on or before the

taking of the land, the NLC must pay interest on the awarded amount at the market rate

yearly, calculated from the date the State takes possession until the date of the payment.54

In cases of dispute, the Commission may at any time pay the amount of the compensation

into a special compensation account held by the Commission, notifying any persons

interested accordingly. If the amount of any compensation awarded is not paid, the

Commission shall on or before the taking of possession of the land, open a special

account into which the Commission shall pay interest on the amount awarded at the rate

prevailing bank rates from the time of taking possession until the time of payment.

All cost related to compensation and resettlement of PAPs will be financed by the

Government of Kenya and is a condition for the loan from the World Bank.

Transfer of Possession and Ownership to the State

47 Schedule 3 governing compensation for compulsory acquisition. 48 Land Act, 117. 49 Land Act, Schedule 50 Land Act, 115 51 Land Act, 115 52 Land Act, This language reflects the language of the Kenya Constitution, 1963. 53 Land Act, 119 54 Land Act 115.


Once first offer payment has been awarded, the NLC serves notice to all persons with

interest in the property indicating the date the Government will take possession. Upon

taking possession of land, the commission shall ensure payment of just compensation in

full. When this has been done, NLC removes the ownership of private land from the

register of private ownership and the land is vested in the national or county Government

as public land free from any encumbrances.55

Temporary Possession

The Commission has also the power to obtain temporary occupation of land. However,

the commission shall as soon as is practicable, before taking possession, pay full and just

compensation to all persons interested in the land.

COMMUNITY LAND

Community Land in Kenya is governed by Community Land Bill 2011 and this act

provide for the allocation, management and administration of community land.

Community land is tenure system that defines land owned by traditional community,

identified on the basis of ethnicity, culture or similar community of interests. This law

establishes Land Administration Committees (LAC) to allocate customary land rights to

community members. However, LACs are subject to the jurisdiction of the Community

Land Board (CLB). Community Land Board exercise control over the allocation and the

cancellation of customary land rights by the LAC. CLB also establish and maintain a

register and a system of registration for recording the allocation, transfer and cancellation

of customary land rights and rights of leasehold. Besides, they also hold and manage

community land on behalf of those communities to regulate all transactions relating to

community land and to facilitate the recording and issuance of title in community land.

The LAC on other hand allocates the right in respect of the specific portion of land to

community members by agreement with notification of the CLB for registration. They

also determine the size of the portion and the boundaries of the portion of land in respect

of which the right is allocated. LACs have the powers of cancellation of rights with

approval of CLBs56

.

Land may be acquired by State from community only when customary land rights of

those affected persons receive just compensation from the State. Compensation shall be

determined through an agreement between CLB, Cabinet Secretary and persons

concerned or affected. The compensation shall also include affected assets or property or

any improvement made on the land. The same will apply to leaseholders who shall be

compensated for the improvement during the currency of the lease. Compensation

payable shall be from moneys appropriated by Parliament for the purpose. Any

community land acquired by State after just compensation shall cease to be community

land for use by the state. In case of grievance and disagreement the Act proposes, appeal

to arbitration act 1995 or High court.

Urgent Acquisition

In cases of where there is an urgent necessity for the acquisition of land, and it would be

contrary to the public interest for the acquisition to be delayed by following the normal

procedures of compulsory acquisition under this Act, the Commission may take

possession of uncultivated or pasture or arable land upon the expiration of fifteen days

55 Land Act, 115 and 116 56 Community Land Bill 2011


from the date of publication of the notice of intention to acquire, and on the expiration of

that time the Commission shall, notwithstanding that no award has been made, take

possession of that land. If the documents evidencing title to the land acquired have not

been previously delivered, the Commission shall, in writing, require the person having

possession of the documents of title to deliver them to the Registrar, and thereupon that

person shall forthwith deliver the documents to the Registrar. On receipt of the

documents of title, the Registrar shall— cancel the title documents if the whole of the

land comprised in the documents has been acquired; if only part of the land comprised in

the documents has been acquired, the Registrar shall register the resultant parcels and

cause to be issued, to the parties, title documents in respect of the resultant parcels. If the

documents are not forthcoming, the Registrar will cause an entry to be made in the

register recording the acquisition of the land under this Act.

Opportunity for Appeal

The Kenya Constitution establishes Environment and Land Court57

. Article 162 of the

constitution provides for the creation of specialized courts to handle all matters on land

and the environment. Such a court will have the status and powers of a High Court in

every respect. Article 159 on the principles of judicial authority, indicates that courts will

endeavor to encourage application of alternative dispute resolution mechanisms,

including traditional ones, so long as they are consistent with the constitution. Section

20, of the Environment and Land Court Act, 2011 empowers the Environment and Land

Court, on its own motion, or on application of the parties to a dispute, to direct the

application of alternative dispute resolution (ADR), including traditional dispute

resolution mechanisms.

Any person whose land has been compulsorily acquired may petition the Environment

and Land Court for redress with respect to:

The determination of such person's right over the land;

The amount offered in compensation; and

The amount offered in compensation for damages for temporary dispossession in

the case of the Government’s withdrawal of its acquisition of the land.58

Parties will pay fees as determined by Environment and Land Court, which may waive

them completely or in part on grounds of financial hardship.59

CHILDREN AND ORPHANS PROVISION OF LAND POSSESSION

The Land Act 2012, Part III, section 2760

recognizes the capacity of a child as being

capable of holding title to land through a trustee and such a child shall be in the same

position as an adult with regard to child’s liability and obligation to the land.

THE VALUERS ACT

Valuation of land is a critical aspect of compulsory acquisition practice. Compensation

awards will be made by the National Land Commission based on land valuation

determined by registered valuers. The Valuers Act61

establishes the Valuers Registration

Board, which regulates the activities and practice of registered valuers. All valuers must

57 Land Act 2012, Section128 58 Land Acquisition Act. at article 29(7). 59 Land Acquisition Act at article 43. 60 “A child shall be capable of holding title to land through a trustee and such child be in the same position as an adult

with regard to the child’s liability and obligations to the land”. 61 The Valuers Act, Chapter 532, http://www.kenyalaw.org/kenyalaw/klr_app/frames.php, accessed May 25, 2011.

http://www.kenyalaw.org/kenyalaw/klr_app/frames.php


be registered with the Board to practice in Kenya. The Board shall keep and maintain the

names of registered valuers, which shall include the date of entry in the register, the

address of the person registered the qualification of the person and any other relevant

particular that the Board may find necessary. As of March 2011, there were 285

registered valuers in Kenya.62

The Valuers Act does not provide for a description of the

valuation procedures and methods.

In case of professional misconduct, the registered valuer is guilty of an offense

punishable with a fine (not exceeding Ksh.10,000) and/or imprisonment for three years.

Fees for land valuation in case of compulsory acquisition are established based on the

value of the property as “the first Kshs 400,000 at 1 per cent. Residue at 0.5 per cent”63

and are paid by those who requested the valuation.

RPLRP sub-project RAPs will make use of the services of registered valuers who are

approved by Valuers Registration Board.

COUNTRY AND REGIONAL STRATEGIES AND PROGRAMS TO IMPROVE

LIVELIHOODS RESILIENCE

The following selection of policies, strategies, legal frameworks and assessment

documents reflect the government position on drought management and improving

livelihoods resilience in the ASAs

The Constitution of Kenya 2010: The constitution has provided two levels of

government: - the national and county level. It has specified functions at each level of

government to be performed by the national government, county government or both.

The Devolution is a main instrument of the new Constitutions for addressing all forms of

inequality and inequities in Kenya. Devolution is not seen only as means to achieve

fairness to all Kenyan citizens, but also as means to explore the opportunities in the

neglected arid and semiarid lands of Kenya. It aims to ensure maximizing use of the

natural resources of the neglected counties of the ASALs.

The Sessional Paper No 8 for 2012on the National Policy for Sustainable

Development of Northern Kenya and Other Arid Lands: This Sessional Paper

emphasizes the need to address three distinct policy challenges that are particular to

northern Kenya and other arid lands. These include:

How to close the developmental gap between Northern Kenya and the rest of the

country, which is a product of its historical experience, and in so doing strengthen

national cohesion;

How to protect and promote the mobility and institutional arrangements that are

so essential to productive pastoralism; and

How to ensure food security across the arid and semi-arid lands where

unpredictability is certain to increase as the impact of climate change deepens.

62 Government of Kenya, Kenya Gazette notice no. 2892, March 18, 2011. Registered and Practicing Valuers. 63 Legal Notice 32.


Kenya Country Programming Paper (Ke-CPP) is the strategic arm of the Sessional

Paper No 8 for 2012. The CPP presents a Framework for ending recurrent drought

emergencies in Kenya. It combines the efforts of the ASLAs communities, the GoK,

civil society and the private sector, and collective efforts of the IGAD member states and

the Horn of Africa Development Partners.

The Draft Disaster Management Policy: This Policy emphasizes preparedness on the

part of the Government, communities and other stakeholders in disaster risk reduction

activities. The policy aims at establishing and strengthening disaster management

institutions, partnerships, networking and main streaming disaster risk reduction in the

development process so as to strengthen the resilience of vulnerable groups to cope with

potential disasters.

Agricultural Sector Development Strategy (ASDS 2010–2020): The ASDS is the

overall national policy document for all the agricultural sector ministries and

stakeholders. The document outlines the characteristics, challenges, opportunities, vision,

mission, strategic thrusts and the various interventions that the ministries will undertake

to propel the agricultural sector to the future.

National Climate Change Response Strategy: This Strategy stipulates the

Government’s commitment to enhancing the resilience of communities in all drought-

and other climate change-induced disasters and improving the capacity for adapting to

global climate change.

Food security and Nutrition Security Policy: The Food Security and Nutrition Policy

provide an overarching framework and cover the multiple dimensions of food security

and nutrition improvement. It has been purposefully developed to add value and create

synergy between existing sectoral and other initiatives of government and partners. It

recognizes the need for many public agencies and private sector involvement, and that

hunger eradication and nutrition improvement are a shared responsibility of all Kenyans.

The policy and associated actions will remain dynamic to address contextual changes and

changing conditions over time. This policy is framed in the context of basic human rights,

child rights and women’s rights, including the universal ‘Right to Food’.

The Draft National Social protection Policy: It provides a framework for interventions

based on the social safety net concept in responding to and building drought resilience.

The Policy Framework for Nomadic Education in Kenya: This document recognizes

that Kenya’s nomadic communities, the majority of whom are pastoralists, face multiple

barriers to education and that unless these barriers are removed, Kenya will not achieve

the Millennium Development Goals for education nor the Education for All goals. It

states that the Government will specifically target nomadic communities through the

adoption of alternative interventions and policies, which are sensitive to the realities of

nomadic regions. The Policy Framework makes Provision for the establishment by statute

of the National Commission for Nomadic Education in Kenya (NACONEK).

Ending Conflict among Communities in Northern Kenya and other Arid Lands,

2010-2012: This strategy was developed jointly by the then Ministry of State for

provincial Administration and Internal Security and the then Ministry of State for


Development of Northern Kenya and other Arid Lands, in collaboration with political

leaders from the region. It argues that successful reduction of inter-communal conflict in

arid lands will only be achieved if there is coordinated action by four different types of

stakeholder: the Kenyan state, political leaders, communities, and neighbouring

countries. It argues for measures to incentivize peace building and conflict management

at all levels, and to work with clusters of conflict that cross-administrative boundaries.

IGAD Drought Disaster Resilience and Sustainability Initiative (IDDRSI)

Based on the Summit Directive of IGAD member States the Secretariat of IGAD

developed the IGAD Drought Disaster Resilience and Sustainability Strategy, which has

both regional and national components founded on the regional programming paper and

the country programming paper. IGAD has established the following institutions to which

K-RPLRP will be linked. A Regional Drought Disaster Resilience and Sustainability

Platform that will make decisions on drought policy and investment issues; a Steering

Committee, which guides the Regional Platform on behalf of the General assembly, and

the Coordination and Management Unit at the Secretariat in-charge of day to day

operations of the Platform. The Coordination Unit linked to the National Platforms in

Kenya, will facilitate discussions on drought resilience and align programme

development and implementation at national and regional levels. These structures and

mechanisms will therefore be used to facilitate coordination with other participating

Member States in the project.

ON-GOING /RECENTLY CLOSED PROJECTS IN THE ASALS

The Kenya Government has a rich history of development approaches for the ASALs

since independence in 1963. The first phase of ASAL development focused on landscape

management by promoting commercial livestock production (1963–1980), and

registration of pastoral group ranches mainly in Kajiado, Narok, Samburu and Laikipia

for semi-arid districts while in the more arid districts on Northern and Eastern Provinces,

a block-grazing model was promoted (1968-1982).

The first 10-year ASALs development Program was formulated in 1979 and implemented

until 1988. In 1989, the government demonstrated its commitment to the ASAL by

creating the Ministry of Reclamation and Development of Arid and Semi-arid Areas and

Wastelands (MRDASW) that was mandated to coordinate the overall policy formulation

of all developments in ASAL. During the tenure of this Ministry, the Environmental

Action Plan (EAP) was developed. The main objective of the EAP was to enhance the

ability of the ASAL communities to manage their resources in a sustainable manner. The

significance of the EAP with reference to Ending Drought Emergencies is drawn from its

emphasis on the need for policies, legislation and institutions that would address

economic development and seek solutions for environmental problems of the ASAL with

emphasis on protected pastoralism, dryland farming, wildlife integration, and drought

management, reclamation of wastelands, community participation and overuse of wood

forest resources.

The following projects and Programs were designed with the aim of building the

resilience of ASAL communities to drought using advanced approaches and

technologies.


Kenya Livestock Development Program (KLDP), 1968–1982: The World Bank

funded KLDP was a large, complex, multi-donor, long-term and expensive project. It

lasted 14 years and cost about US$81.2 million. Its planning was primarily top–down,

complicated by the lack of ecological function of Kenyan rangelands characterized by

non-equilibrium systems.

Although KLDP was considered one of the most promising rangeland management

programs, lack of planners’ knowledge of the socio-cultural and ecological conditions on

the ground, and the absence of a holistic community-based approach were behind its

failure. Lessons learned from this early development project have led to the present-day

nature of ASAL projects that are bottom–up, localized, small-scale, community-oriented

and devoted to poverty alleviation.

Emergency Drought Recovery project, 1991–1996: This was a World Bank funded

project. A key lesson from the project was that short-term emergency interventions were

insufficient for reducing the vulnerabilities of ASAL communities and building their

resilience to shocks. The key achievements of the project were the formation of water

users associations for village water supply and the livestock drug users associations, both

of which enhanced community participation in drought management.

Arid Lands Resources Management project (ALRMP), 1996–2010: This World Bank

funded initiative’s main thrust was to institutionalize drought management in the

Government system as well as undertake integrated development of the ASALs. A key

lesson from this project was that building community structures/institutions, such as

pastoralist associations and Community based organizations (CBOs), greatly increases

the local capacity to manage droughts and respond to emergencies in a timely and

effective manner prior to the arrival of external assistance. It emphasized the need to

promote community level contingency planning and early warning systems. The ALRMP

also facilitated the introduction of mobile schools into the mainstream education system.

ASALs-based Livestock and Rural Livestock Support Programs (ALLPRO), 2004–

2012: ALLPRO was implemented by the Ministry of Livestock Development and funded

by the African Development Bank. It focused on improving sustainable rural livelihoods

and food security through protected livestock productivity, marketing and support for

drought management and food security initiatives in 22 districts.

Capacity Kenya- and IntraHealth Project. The project is supported by USAID, which

is helping to improve capacity in Human Resources for Health (HRH). Although a

national initiative, Capacity Kenya recognizes the distinct HRH challenges facing the arid

lands, and is implementing a series of affirmative action measures in the training and

development of health service personnel. Other projects in the health sector are also

reorienting themselves to respond to the difficulties experienced by remote and nomadic

communities in accessing quality health care, such as APHIAplus Northern Arid Lands,

which was implemented between 2010 and 2012.

Kenya Drylands Livestock Development Programs 2010–2013: is funded by USAID

and implemented by the Citizen’s Network for Foreign Affairs (CNFA). The Program’s

focus is to enhance trade in livestock and livestock products to increase incomes and food

security for Kenyan pastoralists in Garissa, Mandera, Wajir and Tana River counties. The


Program is investing in the livestock value chain as a means to raise income and assure

food security.

Resilience and Economic Growth in the ASALs (REGAL) (2012-2017): USAID is

supporting drought resilience through two programs which are part of a broader strategy

to link and layer humanitarian and development assistance in Kenya’s northern arid

lands. The first layer of investment is the humanitarian agencies including the World

Food Programme’s (WFP) are engaged in food/cash/for-asset activities in the nine arid

counties; Turkana, Baringo, Samburu, Marsabit, Isiolo, Mandera, Wajir, Garissa and

Tana River that initiate investment in building resilience amongst vulnerable

communities and households in the arid lands through asset creation.

REGAL-IR operates in Turkana, Marsabit, Isiolo, Wajir and Garissa. The five counties

targeted by the resilience program were selected on the basis of several criteria. First,

these counties had the highest number and percentage of households in need of food

assistance during the 2011 drought and thus offer the greatest opportunity for reducing

the food assistance caseload in the arid lands. Second, they offer an opportunity to build

on prior USAID investments, including WFP food/cash-for-asset activities funded by the

Office of Food for Peace (FFP), the Arid and Marginal Lands Recovery Consortium

(ARC) funded by the Office of U.S. Foreign Disaster Assistance (OFDA), and USAID

Kenya’s Drylands Livestock Development Program (DLDP). Finally, these counties have

also been targeted by other donors, including DFID’s through their Hunger Safety Net

(HSN), EC, World Bank and JICA.

REGAL-AG supports the livestock value chain in two of the five northern arid counties

targeted by the resilience program in Marsabit and Garissa. The two counties targeted for

the livestock value chain program were selected on the basis of additional criteria. First,

these two counties offer the greatest growth potential for livestock. Second, both are

national and cross-border market hubs for livestock. Third, they are critical nodes in the

Government of Kenya’s proposed LAPSSET corridor. In addition, the investment in

Marsabit is geographically contiguous with USAID’s livestock value chain program in

Ethiopia (PRIME) and aims to leverage market opportunities afforded the Isiolo-Moyale

road. Similarly the investment in Garissa builds off the already well-established markets

there, as well as prior investments by USAID/Kenya.

Kenya Rural Development Programs (KRDP) –on going: Supported by the European

Union, the key result area for ASALs in this project is to increase the capacity of ASAL

communities to respond effectively to drought and other vulnerabilities. It focuses on

securing long-term food security through improving agricultural productivity nationwide,

better responses to drought, and protects livelihoods in the ASALs. The Program is

informed by the need for a sector-based approach that has not featured prominently in

previous interventions. It is mainly built on lessons from the Drought Management

Initiative (DMI). The KRDP will continue the Linking Relief Rehabilitation and

Development (LRRD) efforts started under the DMI.

The DFID-supported Hunger Safety Net Programs (ongoing): The project uses

biometric technologies to disburse cash transfers using electronic point-of-sale devices

managed by a network of traders. The Program is demonstrating that increasing the

penetration of new technologies into remote areas is both beneficial and achievable. The


key lesson learnt from the project is the use of Information Communication Technologies

to minimize the effect of distance on social service delivery.

Education for Nomads: The Ministry of State for Development of Northern Kenya and

other Arid Lands supported a process of participatory research during 2009-2010, which

resulted in the development of a people-centered distance learning strategy for nomadic

communities. The Ministry has also facilitated the establishment of the independent

Northern Kenya Education Trust (NoKET), which is supporting the education of students

from pastoralist families, particularly girls, at secondary, tertiary and university levels,

and which has now absorbed the previous UNICEF-supported secondary scholarship

scheme for girls from North Eastern Province.

Drought Resilience and Sustainable Livelihoods Programme in the ASALs of

Northern Kenya (DRSLP) 2012-2017); This project supported by AfDB in 6 counties of

Turkana, Baringo, Isiolo, Marsabit, Samburu, West Pokot is a livelihood project focusing

on natural resource management, livestock infrastructure development and capacity

building.

Medium Term ASAL Programme MTAP (201-2014) is supported by the Government

of Denmark and GoK covers the counties of Lamu, Garissa, Tana River, Isiolo, Marsabit

and Wajir. Its objective is to contribute to reduced poverty in the context of Kenya's

Vision 2030 and of safeguarding the state of the environment and promoting sustainable

management of natural resources. The Natural resource management component of the

programme is to enable policy and regulatory framework for environment and natural

resource management including county plans developed and implemented with poverty

reduction orientation, Poverty reduction, enhanced food security, reduced livelihood

vulnerability and improved NRM; build capacity of Civil Society Organizations and

Private sector service providers to support and influence NRM as a contribution to

poverty alleviation.


7. COMPARISON OF KENYA LAWS AND WORLD BANK

REQUIREMENTS

This chapter page outlines World Bank policies on involuntary resettlement and

compares them to Kenyan legislation on the same. The World Bank’s Operational Policy

on Involuntary Resettlement (O.P. 4.12 is widely accepted as reflecting international

standards on involuntary resettlement. Laws on land administration in Kenya are

comprehensive but differ in several ways with the Bank’s OP 4.12 (Involuntary

Resettlement) policy. For example, entitlements for payment of compensation are

essentially based on the right of ownership, which limits the rights of non-formal

occupants like slum dwellers or squatters, which the Bank’s OP 4.12 policy recognizes.

Table 2 below also includes a comparative analysis of Kenya’s Land Laws and Bank’s

OP. 4.12 with recommendations on addressing areas of conflict. In all cases where the

Kenyan regulations appear less stringent than OP. 4.12 the bank procedures will apply.

61

Table 2. Comparative Analysis of World Bank OP 4.12 and Government of Kenya requirements including measures to

address gaps

OP 4.12 Kenyan Legislation Comparison Recommendation to

Address Gap

GENERAL REQUIREMENTS

World bank OP4.12 has

overall policy

objectives, requiring that:

1. Involuntary resettlement

should be avoided

wherever possible, or

minimized, exploring all

alternatives.

2. Resettlement programs

should be sustainable,

include meaningful

consultation with

affected parties, and

provide benefits to the

affected parties.

3. Displaced persons should

be assisted in improving

livelihoods etc, or at least

restoring them to

previous levels.

1. According to Kenyan

Legislation, involuntary

resettlement may occur as

a result of projects

implemented in public

interest.

2. The Land Act, 2012 Act

outlines procedures for

sensitizing the affected

population to the project

and for consultation on

implications and grievance

procedures.

3. The Land Act 2012

guarantees the right to fair

and just compensation in

case of relocation.

1. The Law does not

stipulate that

resettlement should be

avoided wherever

possible; on the

contrary, as long as a

project is for public

interest, involuntary

resettlement is

considered to be

inevitable.

2. Same as the World

Bank

3. Just and fair

compensation as

outlined in the Land Act

2012 is not clear and

can only be determined

by NLC, which can be

subjective. It is does not

talk about improving

livelihood or restoring

them to pre-project

status.

I. For each of the

RPLRP

subproject,

ensure that

resettlement

issues are

considered at

the design

stage of the

project in order

to avoid/

minimize

resettlement.

Implement

World Bank

OP 4.12 policy

- displaced

should be

assisted in

improving their

livelihood to

pre-project

status.



Address Gap

PROCESS REQUIREMENTS

Consultation: Displaced

persons should be

meaningfully consulted and

should have opportunities

to participate in planning

and implementing

resettlement programs

The Land Act outlines

procedures for consultation

with affected population by

the NLC and grievance

management procedures.

Same as World Bank

Implement consultation

procedures as outlined in

in both Kenyan legislation

and World Bank.

Grievance: For physical

resettlement,

appropriate and accessible

grievance mechanism will

be established.

Land Act 2012 clearly

outline the steps and

process for grievance

redress that includes

alternative dispute

resolution, re-negotiation

with NLC and is backed by

the judicial system through

Environmental and Land

Court

Kenyan legislation meets

OP4.12 requirements.

N/A

Eligibility Criteria

Defined as:

(a) those who have formal

legal rights to land

(including customary and

traditional rights recognized

under the laws of the

country);

(b) those who do not have

formal legal rights to land

at the time the census

begins but have a claim to

such land or assets—

The Land Act 2012

provides that written and

unwritten official or

customary land right are

recognized as valid land

right. The Law provides

that people eligible for

compensation are those

holding land tenure rights

Land Act also recognizes

those who have interest or

some claim in the land such

pastoralist or who use the

Kenya’s Land Law defines

eligibility as both formal

(legal) and informal

(customary) owners of

expropriated land.

However, it does not

specifically recognize all

users of the land to be

compensated.

The constitution of Kenya

on the other hand

recognizes ‘occupants of

Ensure ALL users

(including illegal

squatters, labourers, rights

of access) of affected lands

are included in the census

survey or are paid (see

Section 4).



Address Gap

provided that such claims

are recognized under the

laws of the country or

become recognized through

a process identified in the

resettlement plan (see

Annex 10 A, para. 7(f));

and19

(c) those who have no

recognizable legal right or

claim to the land they are

occupying

To determine eligibility:

Carry out resettlement

census. Cut-off date for

eligibility is the day when

the census begins.

land for their livelihood.

The constitution recognizes

‘occupants of land even if

they do not have titles’ and

payment made in good faith

to those occupants of land.

However, this does not

include those who illegally

acquired land

Land Act 2012 provides for

census through NLC

inspection and valuation

process

land’ who do not have title

and who the state has an

obligation to pay in good

faith when compulsory

acquisition is made.

Same as World Bank

Implement cut-off

procedures as outlined in

the RPF and Kenyan Law



Address Gap

Measures: Preference

should be given to land

based resettlement

strategies for displaced

persons whose livelihoods

are land-based.

Cash based compensation

should only be made where

(a) land taken for the

project is a small fraction of

the affected asset and the

residual is economically

viable; (b) active markets

for lost assets exist and

there is sufficient supply of

land and housing; or (c)

livelihoods are not land-

based.

World Bank OP4.12 Article

6(a) requires that displaced

persons are provided with

prompt and effective

compensation at full

replacement cost for losses

of assets attributable

directly to the project. If

physical relocation is an

impact, displaced persons

must be provided with

assistance during relocation

Legislation provides for

land for land compensation

but the Land Act 2012 does

not state whether preference

should granted to land to

land compensation.

Land Act 2012 appears to

prefer mode of

compensation by the

Government to the affected

population.

Land Act talks of prompt,

just and full compensation

before the acquisition of

land. However,

interpretation of just

compensation is yet to be

clearly outlined through a

specific schedule defining

just and fair compensation

has not been put in place.

Attorney’s fees, cost of

obtaining advice or cost

incurred in preparing and

making written claim not

included in just

compensation

Land for Land provided for

in the Land Act but act not

specific on when it should

applied except when the

affected person choses to

receive land to land award.

Cash based compensation

seems to be the preferred

mode of awarding

compensation to the

affected population by

Government of Kenya

Just compensation as

stipulated in the Land Act

not yet specifically defined.

Land Act very clear on

attorney fees that it is not

included. OP 4.12 includes

those cost as part of full

replacement

Ensure that all alternative

options are considered in

preference to providing

cash compensation (as

outlined in the Entitlement

Matrix).

Use World Bank OP4.12

procedures in determining

form of compensation

Implement prompt and

effective compensation at

full replacement cost for the

losses of the assets.

Implement World Bank

policy on Attorney’s fees.



Address Gap

and residential housing,

housing sites and/or

agricultural sites to at least

equivalent standards as the

previous site. Replacement

cost does not take

depreciation into account.

In terms of valuing assets,

if the residual of the asset

being taken is not

economically viable,

compensation and

assistance must be provided

as if the entire asset had

been taken.

Compensation and other

assistance required for

relocation should be

determined prior to

displacement, and

preparation and provision

of resettlement sites with

adequate facilities, where

required

The Act is does not out

rightly stipulate assistance

for relocation but we can

interpret that relocation cost

will be included in just

compensation.

OP4.12 requires that

displacement must not

occur before all necessary

measures for resettlement

are in place, i.e., measures

over and above simple

compensation

Ensure that ALL

resettlement options are

agreed on with PAPs and

put in place BEFORE

displacement of affected

persons.



Address Gap

Valuation: With regard to

land and structures,

“replacement cost” is

defined as follows:

For agricultural land, it is

the pre-project or pre-

displacement, whichever is

higher, market value of land

of equal productive

potential or use located in

the vicinity of the affected

land, plus the cost of

preparing the land to levels

similar to those of the

affected land, plus the cost

of any registration and

transfer taxes.

For houses and other

structures, it is the market

cost of the materials to

build a replacement

structure with an area and

quality similar to or better

than those of the affected

structure, or to repair a

partially affected structure,

plus the cost of transporting

building materials to the

construction site, plus the

cost of any labor and

Valuation is covered by the

Land Act 2012 and

stipulates, as already

mentioned, that the affected

person receive fair and just

compensation from NLC,

as determined by National

Land Commission. Valuers

Act stipulates that a

residual amount of 0.5% of

the total valuation of an

asset is expected to pay the

valuer.

Land Act 2012 talks of fair

and just compensation for

the lost assets but it is not

specific of the exact amount

or procedures on the same.

The Land Act 2012

stipulates just and fair

compensation.

Though one could argue

that there is some form of

consistency between the

Kenyan Law and World

Bank OP.4.12,

interpretation of ‘just and

fair compensation has not

been defined.

Interpretation of just and

fair compensation not clear

Interpretation of just and

fair compensation not clear.

Apply the World Bank

OP4.12 valuation measures,

as outlined in Section 6, in

order to fully value all

affected assets in a

consistent manner.

Apply World Bank OP4.12

on valuation and

compensation measures.

Apply World Bank OP4.12

on valuation and

compensation procedures.



Address Gap

contractors’ fees, plus the

cost of any registration and

transfer taxes.

Monitor

Adequate monitoring and

evaluation of activities to

be undertaken.

According to Land Act can

be undertaken County Land

Boards.

Both Kenyan Law and

World Bank policy

advocates for Monitoring

and Evaluation

Implement as prescribed in

the World Bank OP4.12

and Kenyan Law.


COMPARATIVE ANALYSIS OF WORLD BANK OP 4.12 AND KENYA’S REQUIREMENTS RELEVANT TO

THE PROCESS

Table 3: Comparative Analysis of World Bank OP 4.12 and Kenya’s requirements Relevant to the Process

Category of PAPs and Type

of Lost Assets

Kenyan Law World Bank OP4.12

Land Owners

Fair and just compensation which could

be in form of cash compensation or

Land for Land

Recommends land-for-land

compensation. Other compensation is at

replacement cost

Land Tenants

Constitution says that ‘occupants of

land’ entitled to some level of pay in

good faith. Land Act stipulates that they

are entitled to some compensation based

on the amount of rights they hold upon

land under relevant laws. However,

those who acquired land illegally not

entitled to any.

PAPs are entitled to some form of

compensation whatever the legal/illegal

recognition of their occupancy.

Land Users

Land Act not clear on Land Users

although in some cases they can receive

some form of compensation depending

on the determination by NLC

Entitled to compensation for crops and

investments made on the land;

livelihood must be restored to at least

pre-project levels.

Owners of Temporary Buildings The constitution of Kenyan respects the

right to private property and in case of

compulsory acquisition, just

compensation must be granted to the

owner for the loss temporary buildings.

Entitled to in-kind compensation or cash

compensation at full replacement cost

including labor and relocation expenses,

prior to displacement.

Owners of Permanent buildings

The constitution of Kenyan respects the

right to private property and in case of

compulsory acquisition, just

compensation must be granted to the

owner for the permanent building

Entitled to in-kind compensation or cash

compensation at full replacement cost

including labor and relocation expenses,

prior to displacement.

Perennial Crops Just and fair compensation for the loss

of crops

As per specifications of this RPF, once

approved by the Bank and disclosed at

the Bank info shop,

69

8. ELIGIBILITY CRITERIA, ENTITLEMENT, VALUATION AND

COMPENSATION

This chapter is a summary description of the category of the affected groups under the

RPLRP and the potential type of impacts related to involuntary resettlement. In addition,

this chapter describes entitlements for each type and category of impact, and sets out the

detailed requirements for determining the value of affected assets and outlining the

process by which valuation will be undertaken. It also explains entailment and

compensation measures.

CATEGORY OF PROJECT AFFECTED PERSONS

Affected groups under RPLRP sub-projects in this RPF will include:

Affected Individual – An individual who suffers loss of land, property, other assets or

investments made on land, livelihood, and/or access to natural and/or economic resources

as a result of the sub project investments funded under RPLRP.

Affected Household – A household is affected if one or more of its members is affected

by RPLRP sub projects, either by loss of property, land, and access, or otherwise his or

her livelihood could be affected in any way by project activities. They include:

Any members in the households, men, women, children, dependent relatives and

friends, tenants;

Vulnerable individuals who may be too old or ill to farm along with the others;

relatives who depend on one another for their daily existence;

a. Vulnerable Groups and Households – Vulnerable groups, individual or part of the

households may have different land needs from most households or needs unrelated to

the amount of land available to them, e.g.:

Female headed households;

Poor

Non-farming residents;

The elderly;

The sick;

The disabled;

Persons Living With HIV/AIDS

Marginalized and Vulnerable Persons; and

Orphans and Vulnerable Children

Following is a brief explanation of some of the vulnerable groups identified for this RPF

Orphans -Due to the impacts of the AIDS crisis in Kenya and the past conflicts

around the country, there are a considerable (some estimates put it at 20% of all

children or 1.764

million) number of orphaned children, who have lost at least one

parent. These children today fall into three categories of care namely (i) those

being looked after by close relatives, (ii) those being looked after by the

government, local authorities or NGOs and (iii) those living alone and providing

for themselves and other siblings. These children are more vulnerable since they

64 According Kenya Bureau of Statistics (KBS) there over 1.7 million orphans, of this, UNAIDS reports 1.1 HIV/AIDS

affected orphaned.


are often “voiceless” because they have no parents to defend or stand up for them

and also because they are considered too young to be heard.

Orphaned children engage in any form of economic activity to provide for

themselves and their siblings, by engaging in activities such as manual work at

open air markets, transporting loads for short distances, and other exploitative

employment.

Unmarried women-These are women who may be dependent on male members

or others for support. Since an affected individual is able to name the person with

whom he/she is linked in dependency as part of the household, resettlement will

not sever this link.

HIV/AIDS afflicted persons-Relatively high percentages of the poor and total

population are living with HIV or are terminally ill with HIV/AIDS. Many are

beneficiaries of numerous health programmes from the government, international

organizations and the NGO community.

Widow-Female-headed households-These may depend on relatives, sons,

brothers, or others for support. These women should not be resettled in a way that

separates them from their households as the very survival of their households may

depend on them. Their compensation must take into account all these factors.

Small-scale female farmers-Small-scale female farmers are also vulnerable

because they may not have men available within the household to carry out male

specific land preparation tasks. Either male relatives in other households help

them voluntarily, or they hire men for cash, or food. Land compensation will

specifically include the labour costs of preparing new land.

Elderly persons-Elderly people farm or work as long as they are able. Their

economic viability may depend on how much land they farm or how much they

produce because, by producing even small amounts of food to “exchange” with

others, they can subsist on cooked food and generous return gifts of cereal from

people such as their kith, kin and neighbours. Losing land will affect their

economic viability and resettlement would damage their economic viability even

more than losing land since it will separate them from the person or household on

whom they depend for their support.

Non-farming households depending on farming household’s -This is another

category of affected people who could be among the vulnerable. They are non-

farming individuals who are engaged in other works, including some agricultural

work and their livelihoods could be affected as a result of the project they include

landless labourer, fishermen, whose main income come from fishing, sand

harvesters, and small businesses relaying on the farming communities. In

addition, women non-farmers. These women earn income from other sources

and/or depend on relatives for “exchanges” of staple foods. Since they do not

farm they will not be affected by the sub-projects need for agricultural land.

However, if their buildings lie on land needed by a sub project. They will lose at

minimum their social network that they rely on if not resettled together.


Affected local community – A community is affected if project activities affect

their socio-economic and/or social-cultural relationships or cohesion. For example

project activities could lead into loss of welfare or cultural erosion etc. In

addition, the investments under RPLRP can cause breakdown of communities and

social networks due to physical separation as a result of the investment specific

infrastructures if not mitigated.

These household types are not mutually exclusive, and a female heading a household may

be a small-scale farmer or an orphan may be an HIV/AIDS affected person. These

groups are particularly vulnerable to land acquisition activities, and as such the following

considerations will be made when sub project sites are identified and PAPs listed. In

addition, the list above is not an exhaustive list and the socioeconomic survey which will

be done for preparation of sub project specific RAPs under the RPLRP needs to be

exhaustive in the category of the affected people and their sources of livelihoods.

ELIGIBILITY TYPE FOR COMPENSATION

The following are some of the category of impacts eligible for compensation. The list,

though, can be added to when socio-economic study and census undertaken for individual

investments under RPLRP, where other types of impacts could be identified.

Land

Property

Land and property

Structures on land

Crops and trees

Livelihoods

Grazing land

Businesses

Community assets

All affected persons irrespective of their status or whether they have formal titles, legal

rights or not, are eligible for some kind of assistance if they occupied the land before the

entitlement cut-off date. The entitlement cut-off date refers to the time when the

assessment of persons and their property in the area is carried out for the preparation of

investment specific RAPs. Table 4 below summarizes the entitlements for each group of

affected persons.

72

ENTITLEMENT MATRIX

Table 4: Entitlement Matrix

Land and

Assets

Types of Impact Person(s)

Affected

Compensation/Entitlement/Benefits

Agricultural land

Less than 20% of land

holding affected

Land remains economically

viable.

Farmer/ title

holder

Cash compensation for affected land equivalent to

replacement value, taking into account market values for

land.

Community land Cash compensation for affected land equivalent to

replacement value taking into account market value

Tenant/ lease

holder

Cash compensation for the harvest or product from the

affected land or asset, equivalent to average market value

of last 3 years, or market value of the crop for the

remaining period of tenancy/ lease agreement, whichever

is greater.

Greater than 20% of land

holding lost

Land does not become

economically viable.

Farmer/ Title

holder

Land for land replacement where feasible, or

compensation in cash for the entire landholding

according to PAP’s choice equal to replacement cost.

Community land – land for land replacement where

feasible or compensation in cash

Land for land replacement will be in terms of a new

parcel of land of equivalent size and productivity with a

secure tenure status at an available location, which is

acceptable to PAPs. Transfer of the land to PAPs shall be

free of taxes, registration, and other costs.


Land and

Assets


Affected


Relocation assistance (costs of shifting + assistance in re-

establishing economic trees + livelihood rehabilitation

assistance )



assistance )

Tenant/Lease

holder

Cash compensation equivalent to average of last 3 years’

market value for the mature and harvested crop, or

market value of the crop for the remaining period of

tenancy/ lease agreement, whichever is greater.



assistance

Land users Impact on livelihood Land less,

encroachers

Compensation to restore livelihood and ensure they will

not be worse off as a result of the investments’ activities.

Commercial

Land

Land used for business

partially affected

Limited loss

Title holder/

business owner

Cash compensation for affected land equivalent to


land.

Opportunity cost compensation equivalent to 5% of net

annual income based on tax records for previous year (or

tax records from comparable business, or estimates

where such records do not exist).

Business owner is

lease holder

Opportunity cost compensation equivalent to 10% of net

annual income based on tax records for previous year (or

tax records from comparable business, or estimates

where such records do not exist)

Assets used for business Title Land for land replacement or compensation in cash


Land and

Assets


Affected


severely affected

If partially affected, the

remaining assets become

insufficient for business

purposes

holder/business

owner

according to PAP’s choice. Land for land replacement

will be provided in terms of a new parcel of land of

equivalent size and market potential with a secured

tenure status at an available location which is acceptable

to the PAP.

Transfer of the land to the PAP shall be free of taxes,

registration, and other costs.

Relocation assistance (costs of shifting + allowance)

Opportunity cost compensation equivalent to 2 months

net income based on tax records for previous year (or tax

records from comparable business, or estimates)

Business person

is lease holder



records from comparable business, or estimates), or the

relocation allowance, whichever is higher.

Relocation assistance (costs of shifting)

Assistance in rental/ lease of alternative land/ property

(for a maximum of 6 months) to re-establish the

business.

Residential Land Land used for residence

partially affected, limited

loss

Remaining land viable for

present use.

Title holder Cash compensation for affected land equivalent to


land.

Rental/lease

holder

Cash compensation equivalent to 10% of lease/ rental fee

for the remaining period of rental/ lease agreement

(written or verbal)


Land and

Assets


Affected


Land and assets used for

residence severely affected

Remaining area insufficient

for continuing use or become

smaller than minimally

accepted under zoning laws

Title holder Land for land replacement or compensation in cash

according to PAP’s choice, based on the replacement

cost.

Land for land replacement shall be of minimum plot of

acceptable size under the zoning law/ s or a plot of

equivalent size, whichever is larger, in either the

community or a nearby resettlement area with adequate

physical and social infrastructure systems as well as

secured tenure status.

When the affected holding is larger than the relocation

plot, cash compensation to cover the difference in value.

Transfer of the land to the PAP shall be free of taxes,

registration, and other costs.


Land and assets used for

residence severely affected

Remaining area insufficient

for continued use or becomes

smaller than minimally

accepted under zoning laws

Rental/lease

holder

Refund of any lease/ rental fees paid for time/ use after

date of removal

Cash compensation equivalent to 3 months of lease/

rental fee

Assistance in rental/ lease of alternative land/ property


Buildings and

structures

Structures are partially

affected

Remaining structures viable

for continued use

Owner Cash compensation for affected building and other fixed

assets, taking into account market values for structures

and materials

Cash assistance to cover costs of restoration of the

remaining structure


Land and

Assets


Affected


Rental/lease

holder

Cash compensation for affected assets (verifiable

improvements to the property by the tenant).

Disturbance compensation equivalent to two months

rental costs

Entire structures are affected

or partially affected

Remaining structures not

suitable for continued use

Owner Cash compensation for entire structure and other fixed

assets without depreciation equal to replacement cost,

taking into account market values for structures and

materials, or alternative structure of equal or better size

and quality in an available location, which is acceptable

to the PAP.

Right to salvage materials without deduction from

compensation


Rehabilitation assistance if required (assistance with job

placement, skills training)

Rental/lease

holder

Cash compensation for affected assets (verifiable

improvements to the property by the tenant), taking into

account market values for structures and materials

Relocation assistance (costs of shifting + allowance

equivalent to four months rental costs)

Assistance to help find alternative rental arrangements

Rehabilitation assistance if required (assistance with job


Squatter/informal

dweller

Cash compensation for affected structures, without

depreciation, taking into account market values for

structures and materials

Right to salvage materials without deduction from


Land and

Assets


Affected


compensation

Relocation assistance (costs of shifting + assistance to

find alternative secure accommodation preferably in the

community of residence through involvement of the

project

Alternatively, assistance to find accommodation in rental

housing or in a squatter settlement scheme, if available)

Rehabilitation assistance if required assistance with job


Street vendor

(informal without

title or lease to

the stall or shop)



records from comparable business, or estimates), or the

relocation allowance, whichever is higher.

Relocation assistance (costs of shifting)

Assistance to obtain alternative site to re- establish the

business.

Standing crops Crops affected by land

acquisition or temporary

acquisition or easement

PAP (whether

owner, tenant, or

squatter)

Cash compensation equivalent to average of last 3 years

market value for the mature and harvested crop, plus the

labour cost.

Trees Trees lost Title holder Cash compensation based on type, age and productive

value of affected trees plus 10% premium

Loss of access to

grazing

On livelihood Households

undertaking

grazing activities

in the affected

areas.

Alternate Arrangements: Encourage adoption of zero-

grazing techniques,

Economic rehabilitation assistance: Provide assistance to

facilitate this transition... For example, assistance with

and payment for construction of new zero-grazing

structures on alternative lands; provision of buffer lands


Land and

Assets


Affected


for growth of cattle fodder; assistance with cultivation of

fodder, provision of cattle fodder for lag period until

cultivated cattle fodder becomes available.

Ensure that the livestock owners have access to land for

grazing or ways to sustain their livelihoods.

Loss of access to

water sources

Loss of access to water for

household use, for household

plots, etc.

Affected

households

Replace water access: Provide alternate access to water

sources in the interim period. Ensure that the

investments’ design take into consideration different use

and need for water and accommodate the users

accordingly.

Loss of

communal

properties such

as burial grounds

and places of

worship,

community

centres, and

social buildings

Loss of access to these sites,

temporarily or permanently,

loss of investment made.

Communities

affected

Consultation: Undertake consultation with affected

households to determine appropriate arrangements and

compensation if suitable. Replacement of the social

buildings, such as schools and dispensaries.

Loss of

livelihoods

Loss of means of livelihoods

such as small production,

such as collection of forest

product, fishery, bee

keeping, small dependent

jobs on affected assets, such

as sand, forest, inaccessible

water bodies and forest

Communities

engaging in non-

farming

livelihoods such

as hunters and

gatherers, fisher

folk, beekeeper.

Livelihood restoration programs: Undertake to help the

affected communities restore their livelihood.

Temporary

Acquisition

Temporary acquisition PAP (whether

owner, tenant, or

squatter)

Cash compensation for any assets affected (e. g.

boundary wall demolished, trees removed), taking into

account market values for structures and materials

79

PROCESSES OF COMPENSATION AND ENTITLEMENT

Formal Processes Involved With Compulsory Acquisition of Land

The following is the formal processes involved when land needed for public development

projects is acquired.

Step 1: An acquiring authority makes a formal request to the NLC indicating the purpose

of the land to be acquired. The request should prove that the land is needed for public

purpose.

Step 2: The Commission will consider the request in view of the guidelines. If the

Commission is convinced that the land is required for public purpose, the Commission

will write to the Acquiring Agency to that effect, and directs them to acquire the

land.

Step 3: The Commission will then give “Notice of Intention” to acquire the land in the

“Kenya Gazette or County gazette” side by side with the “Notice of Inquiry”. The

public announcements will be made widely in standard mass communication

avenues such as newspapers and on the radio.

The “Notice of Intention” must mention the public body or the public purpose for

which the land is to be acquired. The “Notice of Inquiry” must mention places and

fixed dates when persons interested in the subject land are to submit their claims to

the NLC or their appointee.

Step 4: NLC will inspect the land and undertake valuation through any of the registered

valuer for just compensation before issuing an award depending on their own

assessment and the representations of interested parties as submitted at the inquiry.

Step 5: The award will then be issued in the prescribed form indicating the

amount of compensation awarded while the statement form gives the landowners

option of acceptance or rejection of the award. If the landowner accepts the award, NLC

or acquiring authority will issue a first offer cheque, which may be interpreted as the first

tranche in settlement. During receipt, the landowner will sign an acceptance letter when

receiving the first tranche.

Step 6: After receipt of first tranche a “Notice of Taking Possession and Vesting” will be

issued by NLC or acquiring authority on the exact date of taking possession. The notice

will instructs the landowner to take his/her title for amendment or cancellation. It

is copied to the Government Land Registrar to make necessary changes to the

affected deed. On the other hand, if the owner rejects the award, the NLC or

acquiring authority deposits the money in special account pending the former’s

appeal. Compensation will be based on ‘just compensation’.

Step 7: After notice has been served NLC or acquiring authority shall promptly pay, in

full, the remaining compensation in accordance with the award to the persons entitled


Step 8: After the full compensation and after land has been acquired, NLC or acquiring

authority shall as soon as practicable ensure that a final survey is undertaken of the land

acquired.

Section 117 of Land Act 2012 allows for in-kind compensation as follows:-

“Notwithstanding anything contained in the Lands Act, where the land is acquired

for the Government or County government, NLC may agree with the person whom

he has determined to be the proprietor of the land that person, instead of

receiving an award, shall receive a grant of land, not exceeding in value the amount

of compensation which NLC considers would have been awarded, and upon the

conclusion of the agreement that person shall, be deemed conclusively to have been

awarded and to have received all the compensation to which he is entitled in respect

of his interest. An agreement under subsection (1) shall be recorded in the award. Such

a grant can be another land or anything equivalent to the value of the land65

”.

Application of the formal process of land acquisition, described above, is contingent on

the constitution of the NLC. In the latter case, the formal process set out under the Land

Act will be applied, and the RPF will be modified accordingly.

Establishment of Sub County Resettlement and Compensation Committee (SCRCC and

LRCC)

For the purpose of this RPF, at each sub level, a sub County and Locational Resettlement

and Compensation Committees (SCRCC/LRCC) will be established to assist the smooth

implementation of the RAP, and ensure participatory and transparent implementation of

the RAP. The SCRCC/LRCCs will not engage in land acquisition or compensation as

this remains the prerogative of the NLC but will instead facilitate the process for

transparency and ownership.

The SCRCC/LRCCs will ensure effective communication among between affected

persons, NLC and implementing agency. The SCRCC/LRCCs will include

representative of implementing agency or acquiring authority66

, social service

department, representative of an NGO, representative of the PAPs among other members.

The SCRCC/LRCCs will liaise with the PAPs at the lower levels through the Locational

Resettlement and Compensation Committees (LRCCs) which will be established in each

location affected by a sub project.

METHOD TO DETERMINE CUT-OFF DATES

The entitlement cut-off date refers to the time when the assessment of persons and their

property in particular sub project areas is carried out, which is the time when the census

or economic survey is initiated. The establishment of a cut-off date is required to prevent

opportunistic invasions/rush migration into the area.

Where there are clearly no identified owners or users of land or assets, the respective sub

County and County Administration will notify the community leaders and representatives

to help to identify and locate the land users and owners. These leaders and

65 Land Act 2012, section 117. 66 Acquiring authority is the Implementing agency that has made formal request to acquire land.


representatives will also be charged with the responsibility to notify their members about

the established cut-off date and its significance. The PAPs will be informed through both

formal notification in writing and by verbal notification delivered in the presence of the

community leaders or their representatives.

METHODS OF ASSETS VALUATION

Valuation is the process of determining the value of land, or an asset that PAPs possesses

or use. Compensation for all land use and assets in kind or cash will be required for the

following:

Land;

Residential buildings, any structures and fixtures;

Cultivated crops (both cash and food crops) and trees; and

Loss of businesses or employment.

Replacement cost is used for land and properties affected by investments under the

RPLRP. For agricultural land, the replacement value it is the pre-project or pre-

displacement, whichever is higher, market value of land of equal productive potential or

use located in the vicinity of the affected land, plus the cost of preparing the land to levels

similar to those of the affected land, plus the cost of any registration and transfer taxes.

For houses and other structures, it is the market cost for replacing the property, including

the materials to build a replacement structure with an area and quality similar to or better

than those of the affected structure, or to repair a partially affected structure, plus the cost

of transporting building materials to the construction site, plus the cost of any labor and

contractors’ fees, plus the cost of any registration and transfer

In addition, resettlement and economic rehabilitation assistance will be provided to the

PAPs, as outlined in the Entitlement Matrix. It is essential that if cash compensation is

selected then replacement values are used to establish actual compensation for all sub

projects funded under RPLRP. A registered valuer with Valuers Registration Board

(VRB) will undertake the valuation exercise, using existing market price, to establish

replacement cost. This will done as part of the preparation of each investment specific

RAP.

Although the type of compensation will be the individual’s choice, compensation in kind

will be preferred as cash payments raises issues regarding inflation and security. In

addition, provision of cash does not ensure that the PAP’s income will be restored. For

payment of compensation in-kind, the timing and alternative locations will have to be

decided and agreed upon by each recipient, in consultation with the individual sub project

SCRCC.

VALUATION PROCESS OF ASSETS

Development of Standard Valuation Table

Due to the expected sub projects and the localized nature of the majority of interventions,

it is anticipated that a relatively large number of small-scale asset valuations will need to

be carried out during the course of the implementation of the project.


Field Preparation of asset inventory

The first step will be to carry out an asset valuation survey as part of the RAP

preparation. The team will include the consultant contracted by the implementing agency

to carry out the RAP and the district and/or registered land valuer who will work closely

with SCRCC, which will be established for the implementation of the RAP in a given sub

project district. It will include a representative of the PAPs. Each asset will be

enumerated and inscribed on an inventory and a valuation of the asset carried out using

the approach described above. The values of each asset will then be recorded in a

register and shown to the affected person for agreement. The register will be signed and

a copy given on the spot to the affected person. At this time, a copy of the grievance

procedure will also be given to the affected person as stated in the grievance redress

mechanism. The information collected, including census, will have been compiled in

electronic and hard copy form, with a separate file for each affected household,

including:

Census results;

Asset inventory and valuation;

Photographs; and

Any other relevant information.

The type of compensation will be an individual choice although every effort will be made

to instill the importance and preference of accepting in kind compensation if the loss

amounts to more than 20% of the total loss of subsistence assets. Table 5 below

describes the forms of compensation.

Table 5. Forms of Compensation

One purpose of using in-kind compensation will be to reduce inflationary pressure on the

cost of goods and services. Local inflation may still occur and thus market prices will be

monitored within the time period that compensation is being made to allow for

adjustments in compensation values. The issue of security, especially for people who

will be receiving cash compensation payments will be addressed by the local

administration. The timing and venue for in-kind compensation will be decided by each

implementing agency in charge of specific investment with consultation with the PAPs

and with the assistance of SCRCC.

FORMS OF COMPENSATION

Cash Payments Compensation will be calculated in Kenya Shillings, based on the

replacement cost. Rates will be adjusted for inflation.

In-kind

Compensation

Compensation may include items such as land, houses, and other

buildings, building materials, seedlings, agricultural inputs and

financial credits for equipment.

Resettlement and

Economic

Rehabilitation

Assistance

Assistance may include livelihood restoration measures, moving

allowance, transportation and labour


METHODS FOR VALUING ASSETS IN KENYA

Valuation is not an exact science. There are, however, certain fundamentals and basic

appraisal methods, which will enable the valuer to arrive at a logical and supportable

estimate of value of property owned by PAPs. Any valuation model to have validity it

will have to produce an accurate estimate of the market price. The method will therefore

have to reflect the market culture and conditions at the time of valuation. The following

method will be considered:-

Investment method

The investment method will treat property like any other investment in the market, where

the main factors influencing investment decisions are security of principal, adequate

yield, security of income, administrative costs and capital growth. The procedure is to

capitalize the rental income (net of expenses or outgoing) using a coefficient based on

the prevailing market yield. Yield adjustments will have to be made where income is

terminable. Where ownership will accrue in future or the expected income stream is

likely to change, the benefit is deferred at an appropriate rate, where adequate market

data are available. Where sale and rental transactions are rare, and there is scarcity of

comparative data on rental and capitalization rates, the method will not be used.

Direct comparison method

The method will be used to value assets by comparing like with like. It is a very reliable

method if current market information is available on sale prices and rentals. It is usual to

reduce sales or rented information to unit price for compensation purpose.

Replacement Cost Approach

Replacement Cost Approach, is where market sale and rental information is not available,

value can be arrived at by using the cost approach - that the costs of replacing assets is

based on damages caused by project operations. The approach involves direct

replacement of expropriated assets and covers an amount that is sufficient for asset

replacement, moving expenses and other transaction costs.

Gross Current Replacement Cost

Gross Current Replacement Cost (GCRC) is defined as the estimated cost of erecting a

new building having the same gross external area as that of the existing one, with the

same site works and services and on a similar piece of land.

OTHER METHODS

Rates from Contractors:

When rate schedules do not exist or are out of date, recent quotations by contractors for

similar types of construction in the vicinity of the project will be used for calculating

replacement costs. In projects offering the options of cash compensation or alternative

accommodation, the construction cost estimates for alternative accommodation could be

used for calculating cash compensation payable.

As noted earlier, to comply with OP 4.12, under this RPF the replacement cost approach

will be used, which includes all expenses to replace a lost property and/or land. No

depreciation will be used since the crux of this approach is that the people who lose land

and assets will be able to replace them at least at the pre project level.


CALCULATION OF COMPENSATION BY ASSETS

The following methods of calculation will be adopted for the preparation of the

aforementioned standardized asset valuation tables and/or the application of specific

case-by-case valuations in the case of sub projects that have significant impacts.

Compensation for Land in urban areas

The compensation will be based on replacement cost, which will be the market price plus

the cost of buying a new plot of land and the fees and taxes involved.

Compensation for Agricultural Land

The RLPRP will provide first replacement of land for any affected land. If receiving land

as compensation, the affected party will then be compensated for the labour required to

replant the crops. In the case where there is no alternative land available, cash

compensation at full replacement value will be provided. This will be valued based on the

prevailing market value in the locality to purchase an equally productive plot of land in

the same locality.

Any associated costs of purchasing the land i.e., taxes, registration fees will be included

in the compensation. Compensation will also be done for any improvement made on the

land with calculation made using current prevailing market rates for labour, equipment

and materials. In cases where land lost is only a small fraction of total land owned by the

PAP, but renders the remaining land as unusable, the compensation provided will be

calculated based on the total land affected (i.e., the actual land lost plus the remaining

unusable land). In addition, the PAPs will be compensated for any permanent

improvements made to the land (for instance water distribution and supply lines). This

will be calculated based on the price of making the permanent improvement at current

prevailing market rates for labour, equipment and materials.

Compensation for land is aimed at providing a farmer and landowners whose land is

acquired and used for project purposes, with compensation for land labour and crop loss.

The farmer’s labour is one of the biggest investments he/she makes in producing a crop

which is higher than all other inputs such as seed and fertilizer. As a result, compensation

relating to land will cover the market price of labour invested as well as the market price

of the crop lost.

Land Measurement

For purposes of measuring land under the project, the unit of measurement would be that

which is used and understood by the affected farmers and if a traditional unit of measure

exists in the rural areas, that unit will be used. If a traditional unit of measurement does

not exist in a particular area then it is recommended that land should be measured in

metres or any other internationally accepted unit of measurement.

However, in such an event, the unit that is being used must be explained to the affected

farmers/users and must somehow be related to easily recognizable land features that the

communities are familiar with, such as using location of trees, stumps, etc. as immovable

pegs. The most important concern of this exercise is to ensure that the affected person is


able to verify using his/her own standards/units of measurement, the size of land that is

being lost. This will ensure transparency in the system and will thus avoid subsequent

accusations of wrong measurements or miscalculation of areas. A farmer should know

how much land he/she is losing, in terms of size and the replacement land must be at least

of that same size and comparable value as land lost.

Calculation of Crops Compensation Rate

The compensation of the crops will be paid at market rate for the production lost. This

rate incorporates the value of crops and the value of the labour invested in preparing new

land. Market value is equivalent to average of last 3 years market value for the mature

and harvested crop. The value of the labor invested in preparing agricultural land and

ploughing will be compensated at the average wage in the community for the same period

of time.

Crop Values Determination

The value of each staple crop affected will be taken as the highest market price (over 3

years) reached during the year. This will be validated from current market prices of crops

as kept by Sub County and County Agricultural office.

The labor cost for preparing replacement land is calculated on what it would cost a

farmer to create a replacement land. This value is found by adding together the average

costs of clearing, ploughing, sowing, weeding twice, and harvesting the crop.

The labor costs will be paid in Kenya Shillings at the prevailing market rates. For

transparency reason, all land labor will be compensated for at the same rate. If the land is

needed at agriculturally critical date when farmer or PAPs will not have enough time to

prepare another land without assistance, support will be provided in the form of labor

intensive village hire, or perhaps mechanized clearing, so that replacement land will be

ready by the sowing dates. The farmer will still continue to receive his/her cash

compensation to enable him/her to pay for sowing, weeding and harvesting.

Compensation for Buildings and Structures

Compensation will be paid by replacing structures such as houses, buildings, huts, farm,

outbuildings, latrines and fences on alternative land provided as an in-kind compensation.

Cash compensation would be available as preferred option for structures lost, that are not

the main house or house in which someone is living. The ongoing market prices for

construction materials will be determined. Alternatively, compensation will be paid in-

kind for the replacement costs without depreciation of the structure. The second option is

provision of cash compensation at full replacement value. Replacement values will be

based on:

Measurements of structures and detail of materials used;

Average replacement costs of different types of household buildings and

Structures based on collection of information on the numbers and types of

materials used to construct different types of structures (e.g. poles, bricks, rafters,

bundles of straw, corrugated iron sheets, doors etc.).

Prices of these items collected in different local markets;

Costs for transportation and delivery of these items to acquired/ replacement land

or building site;


Estimates of construction of new buildings including labor required;

Any associated taxes, registration fees.

Compensation for Community Assets

Community assets include community-owned assets such as water points, wells,

marketplaces and community/ public facilities (e.g., schools, clinics police posts).

Community assets will be identified through the census and enumerated. In the event

that community assets are affected, in - kind and new facilities will be provided even if

there are existing facilities at the new location, except if such assets are not needed in the

new place. However, if community trees are affected, the community will be

compensated through provision of new seedlings equivalent to the value of lost trees.

Some community assets such burial grounds in rare case may need to be moved,

therefore the cost of moving graves and related structures should be considered.

Compensation for Sacred Sites

This RPF is conscious of the fact that valuation of sacred places is a difficult undertaking

because of the complexity of placing monetary value on a cultural site. Additionally,

most sacred sites belong not only to an individual but a family, village or community.

Under this RPF to the largest extent possible, the sacred sites and use of land that is

defined to be cultural and/or sacred property by the Banks Safeguards OP 4.11 will be

avoided. Sacred sites will include but not restricted only to; museums, altars, initiation

centres, ritual sites, ancestral tombs, trees, stones, and cemeteries which are considered

sacred by the project affected persons. It will also include other such sites or

places/features that are accepted by local laws (including customary), practice, tradition

and culture as sacred. However, if the impact on some cultural sites is unavoidable,

outmost care will be done to ensure that all related activities affecting such sites and

compensation is culturally appropriate and acceptable to the involved community and

that all the processes are done in a consultative manner and with full participation of the

affected communities.


Compensation for Loss of Enterprises

Business structures in project areas will be replaced in an appropriate location as outlined

above. In addition, compensation will be paid for the lost income, profits and production

during the transition period (time lag between losing the business and re-establishment).

If it is not possible or preferable to provide replacement site for an affected

business/enterprise, the full replacement cost to re-establish the business, as described

above, will be provided.

Compensation for vegetable gardens and beehives

Most vegetable garden, form part of the residential space of most homes - though

miniature in size, they make critical component of most family’s food and nutritional

supplement through provision of vegetables. Until a replacement garden starts to bear,

the family displaced (economically or physically), will have to purchase vegetables in the

market for daily use. The replacement costs therefore, will be calculated based on the

average amount that an average town dweller spends on buying these items for one year

per adult from the local market. Beehives are placed in various locations in the bush by

individuals specializing in honey gathering. If such hives will be disturbed by the project

activities, or access to hives is denied, beekeepers will be free to move them, and

hopefully the bees will adapt to the new locations. Beekeepers will be compensated by

the value of one season’s production costs of honey for each hive that is moved and any

reasonable costs associated with moving the hive.

Compensation for horticultural, floricultural and fruit trees

Papaya, banana, guava, medicinal and aromatic crops will form a set of primary fruit

trees that are likely to be found in project targeted area and are estimated to account for a

significant amount of all fruit bearing trees. They are primarily important as a source of:

subsistence food for families; cash produce that contribute to the export economy; petty

market income in some areas, and shade (in the case of mango trees). For banana trees,

they have a relatively much shorter productive life, normally, than mango trees. For

banana trees will not bear fruit more than once a year. Therefore, compensation for

banana trees would be based on the full market rates for bananas harvested in that year

and for one additional year. The second year payment is for the replacement cost of

planting a new tree, looking after it and harvesting it which could all be done in one year.

This method in general is used for trees/plants that have a relatively short life.

Mango tree and other fruit bearing trees with longer life span will be compensated on a

combined replacement/market value. Mango trees used for commercial purposes will be

compensated at market value based on historical production records.

If households choose to resettle, they will be compensated for the labour invested in the

trees they leave behind. For this RPF, the compensation rate will be based on the value of

the mango and other fruits harvested in one season multiply by the years of the maturity

of the tree. The compensation could also be in the form of providing a combination of

new grafted and local trees to farmers, as well as cash payments to offset lost yearly

income.

Other domestic fruit, shade trees,

As defined in this RPF, individuals will be compensated for wild trees which are located

in their land. Wild productive trees belong to the community when they occur in the bush


as opposed to fallow land. These trees will be compensated for under the umbrella of the

community compensation.

Compensation for livelihood that are not necessarily land base

For those who have small production and that production is a major part of their

livelihoods, such as forest fruit and herbs collectors, fishermen, beehive keepers,

livestock owners, tenants, those working on land, sand collectors, earning an income,

which is affected by any sub project. The RPF proposes full livelihood restoration and

support to such vulnerable groups affected by the project activities. The livelihood

restoration support will be in the form of cash including training and capacity building to

engage in new occupation, including activities created by a given sub project.


9. PREPARING & APPROVING RESETTLEMENT AND COMPENSATION

PLANS

This chapter describes how a determination will be made (screening) on whether sub

projects under RLPRP will lead to physical or economic displacements. If through the

screening process, it is determined that displacement will occur, then the section

highlights the steps, process and methodologies for preparing RAPs. The RAPs for each

investment will be prepared in accordance with this RPF.

THE SCREENING AND RESETTLEMENT PROCESSES AND PLANNING

PROCESS

Screening

Given the diverse types of investments under the RPLRP and as a result different severity

of impacts, each sub project that is proposed to be included under RPLRP will be

screened by the RPLRP /PMU which has been established by the State Department of

Livestock for overall coordination of RPLRP related activities, and classified according

to its potential social, economic and environmental impacts. Screening will be based on

the defined area of impact, primary engineering drawings, maps and if available satellite

images of the sub project area showing homes, farms, workplaces, schools, health posts,

places of worship and other individual and community assets.

If screening determines that resettlement is likely, the next step will be to initiate

consultation and the preparation of a RAP. The steps to be undertaken for each

individual Resettlement Action Plan (RAP) include; an identification of Project Affected

Persons (PAPs), a socioeconomic census and asset inventory of the area, and

consultation. Each RAP when prepared will contain the analysis of alternative sites

undertaken during the land screening process.

Resettlement Processes and planning,

Once the decision is made on the location of a given sub project under RPLRP and the

census is conducted for a preparation of the RAP for a given sub project, the

implementing agency starts the RAP processes, including the preparation of the RAP

explained below.

PREPARATION OF A PROJECT SPECIFIC RAP

Once a sub project is approved to be financed under the RPLRP, the

MALF/RPLRP/PMU will initiate a consultative and participatory process for preparing

the RAP as follows:

(i) A socio-economic survey/census will be completed to determine scope and nature

of resettlement impacts including the number of PAPs, the number and size of the

assets, the economic activities, the other socio-economic data, and productive

assets to be affected, among others.

(ii) The socio-economic assessment will focus on the potential affected communities,

including some demographic data, description of the area, livelihoods, the local

participation process, socio-cultural characteristics of the population. This


together with the census will establish baseline information on livelihoods and

income, landholding, etc.

Aside from the census and socioeconomic survey, which are the basis for collecting data

and information on the PAPs and their assets, the following guidelines will be used when

the RAP is being developed.

(i). Consultation and participatory approaches; A participatory approach will adopted to

initiate the compensation process. Consultations will start during the planning stages

when the technical designs are being developed, and at the land selection/screening

stage. The process therefore seeks the involvement of PAPs throughout the census

and socioeconomic study for identifying eligible PAPs and throughout the RAP

preparation process.

(ii). Notification; All eligible PAPs will be informed about the project and the RAP

process. A cut-off date will be established as part of determining PAPs eligibility,

which is the date the census or the socioeconomic survey is initiated. In special cases

where there are no clearly identifiable owners or users of the land or asset, the RAP

team must notify the respective local authorities and leaders. A “triangulation” of

information – affected persons; community leaders and representatives; and an

independent agent (e.g. local organization or NGO; other government agency; land

valuer) – may help to identify eligible PAPs. The RAP team willt notify PAPs about

the established cut-off date and its significance. They will be notified both in writing

and by verbal notification delivered in the presence of all the relevant stakeholders.

(iii). Notification to NLC: One of the first steps in this process once the census undertaken

for the preparation of the RAP is done, the implementing agency makes a written

request to NLC of the intention for the acquisition of the identified area for a given

investment under the RPLRP. NLC will inspect the land and grant approval for the

land to be acquired for the implementation of the project. With this approval, NLC

will make a written notification through the Kenya Gazette or County gazette of the

intention to acquire the identified land for public purposes.

(iv). Documentation and verification of land and other assets; NLC, the legal agency

responsible for the approval of compulsory land acquisition and compensation for

national and county development projects, together with a contracted registered

valuer, and the SCRCC, will arrange meetings with PAPs to discuss the compensation

and valuation process. For each individual or household affected by a given

investment/sub-project, the RAP preparation team will complete a Compensation

form containing necessary personal information on the PAPs and their household

members; their total land holdings; inventory of assets affected; and demographic

and socio-economic information for monitoring of impacts. This information will be

documented in a report, and witnessed by an independent or locally acceptable and

respected community member. The reports will be regularly updated and monitored.

(v). Compensation and valuation. All types of compensation will be clearly explained to

the individual and households involved by consultant, NLC representative and

SCRCC. This will refer especially to the basis for valuing the land and other assets,

which will always be done in the presence of the PAPs or their representatives. Once


such valuation is established, the NLC will produce, in presence of SCRCC, a

Contract or Agreement that lists all property and assets that will be acquired by the

project and the types of compensation selected. Table 4 above provides a sample of

entitlements that are eligible for compensation. These options include in-kind (e.g.

replacement housing) and cash compensation. All compensation should occur in the

presence of the affected persons and the community local leaders. If cash

compensation is the preferred choice of the PAPs, the means to provide such cash

compensation will be decided by the PAPs, e.g., through a cheque, direct deposit to

the PAPs account or direct payment in cash to PAPs given that access to banking is

sometimes a challenge in remote environment. Compensation costs will met by the

Government of Kenya.

(vi). From this point, the provisions of this RPF will be utilised up to payment of the

compensation package including resettlement support where appropriate. The costs

associated with resettlement or relocation will be included in the RAP budgets for all

investments under RPLRP.

(vii). Payments: The Government of Kenya through the Ministry of Finance (Treasury) will

provide funding to the Ministry of Agriculture, Livestock and Fisheries (MALF) State

Department of Livestock, which is the overall implementing agency for the RPLRP.

The compensation amount for the land and properties will then be provided to the

NLC, which will be in charge of land acquisition. The NLC will make award to the

PAPs for the affected land and properties

(viii). Grievance Mechanism: Establishment of grievance mechanism will be one of the key

requirements of the RAP processes in every RPLRP sub project. One of the key roles

of the proposed SCRCC, under individual sub-project, will be to address disputes.

Grassroots based disputes will be dealt by Location Resettlement Committee (LRCC)

led by the administrative chiefs (explained in Chapter 9, under Implementation

Arrangements). All PAPs will be informed by the SCRCC and LRCC how to

register grievances or complaints, including specific concerns about compensation

and relocation as well as dispute regarding livelihood restoration measures. The

PAPs will be informed about the dispute resolution process, specifically about how

the disputes will be resolved in an impartial and timely manner.

(ix). Environmental and Land Court will provide opportunity for appeal when a solution

will not be found using the established local mechanisms. The court will deal with

land and compensation related disputes. However, the Land Act 2012 and

Environment and Land Court Act 2011 advocates for alternative dispute resolution

(ADR) methods in tackling land related disputes. Alternative dispute resolution

approaches will be given preference and based on customary rules, arbitration or

third-party mediation. ADR will be promoted or defended as a resolution to disputes

related to resettlement and land.

Consultation: All the RPLRP sub projects will provide for informed participation of

affected persons and communities, including host communities, in decision-making

processes related to resettlement.


APPROVAL OF RESETTLEMENT ACTION PLANS:

All RAPs developed for RPLRP sub projects will be reviewed by the RPLRP /PMU and

the World Bank. For quality assurance, it is required that RAPs prepared for specific

investments be submitted to the World Bank for review to ensure that they are produced

in line with principles of this RPF and safeguards quality control. Gaps in quality shall

be addressed through reviewers and the contracted consultants.

Once the individual RAPs are approved, they should be disclosed in the country and in

the Bank info shop. In addition, each RAP should be available in the localities where the

investments are intended. The entitlement section of each RAP and the entitlement

matrix should be translated into the local language and be distributed among the affected

communities.


FIGURE 3. RAP SCREENING AND APPROVAL PROCESS

DISCLOSURE

94

10. IMPLEMENTATION ARRANGEMENTS

The Ministry of Agriculture, Livestock and Fisheries (MALF), State Department of

Livestock through the RPLRP/PMU will provide the overall coordination of the sub

projects under the RPLRP. The PMU has the overall role of the coordination and quality

control, and among its other roles, it ensures that the investment prepare the needed

safeguards instrument, in this case the RAP, in accordance to the RPF.

RPLRP /PMU will screen proposed sub projects to determine their viability and

feasibility. Once a sub project is proposed for funding, PMU will prepare a TORs for the

RAP consultant, the RAP developed as required, and subsequently reviewed. The

preparation and implementation of individual RAPs is the responsibility of the relevant

implementing agencies.

INSTITUTIONAL ROLES FOR RAP PREPARATION AND

IMPLEMENTATION UNDER RPLRP

Ministry of Agriculture, livestock and Fisheries (MALF)

The main agency involved in implementation of the RPF will be MALF as an overall

implementing agency; it will have overall responsibility for the implementation of

RPLRP and will act as the central agency responsible for holding all information relevant

to the RPF and subsequent RAPs. MALF also has the responsibility for the mobilization

of funds from Government for resettlement and compensation purposes of specific

approved RAP

Project Management Unit (PMU)

The PMU already set up under the RPLRP will be responsible for the day-to-day

coordination of the RPLRP sub projects including screening of sub projects and keeping

records of the implementation of RPLRP. To assist implementing agencies, the PMU,

will be staffed with a social safeguards specialist. The first role of the PMU with regards

to the preparation of the RAPs will be to screen all sub projects to be funded by the

RPLRP and to determine if they need to prepare a RAP.

The necessary screening will be done through a clearly outline screening procedure as

outlined in Figure 3 of this RPF. Once a proposed sub project is accepted to be funded

under the RPLRP, the PMU will prepare the TOR before it is used to hire the consultant

to prepare the RAP, which is done though the implementing agency for a given

investment. Once the RAP is prepared, under the supervision of the implementing

agency, the PMU will review the RAP for consistency of such document with RPF under

all RPLRP financed sub projects. As part of this review, it will collect all the needed

information and documentation for the preparation of the RAP and later all the

documentation for its implementation. Even though NLC and implementing agencies are

responsible for direct implementation of RAP, all the RAP information regarding the

preparation and implementation will be passed to the PMU for review, documentation

and filing.

MALF will also notify the NLC of its intention to acquire land; establish the SCRCC and

LRCC; establish the budget needed for the implementation of the RAP; provide the

budget for the land and property compensation to the NLC, which in turn will


compensate the affected people; working with the NLC on the processes of land

compensation (see “Formal Processes Involved With Compulsory Acquisition of Land”

discussed earlier). MALF will also provide budget for SCRCC and LRCCs operations;

ensure the grievance committees are established and working; collect all the needed

documentation for compensation as well as grievances and compile them; send a copy of

all the documents to the Bank; and monitor RAP implementation.

National Land Commission (NLC)67

The National Land Commission (NLC) is the legal agency under the new constitutional

dispensation responsible for compulsory acquisition of private land for public

development by national government and county governments. NLC is governed by

National Land Commission Act 2012, which stipulates one of its roles as that of

compulsory acquiring land for national government and county governments’

development projects among other roles. Key roles of NLC in the implementation of this

RPF and subsequent RAPs under RPLRP will include: provide approval to request made

by implementing agency under RPLRP to acquire land; notifies landholders in writing of

the intention to acquire land; assist in resolving disputes related to compensation;

undertake public consultation on intended acquisition with the help of SCRCC; receive

money from MALF for actual payment of entitlement awards to PAPs.

Sub County Resettlement and Compensation Committees (SCRCC)

This RPF proposes the constitution of SCRCCs for each sub project under RPLRP.

SCRCCs will be established at the district level to ensure participatory and transparent

implementation of the RAP. The SCRCCs will not engage in land acquisition or

compensation, as this remains the prerogative of the NLC. Depending on how NLC

establishes its new cascading institutions in the counties, this RPF will be updated

accordingly. For purposes of this RPF, SCRCC will help NLC carry out its mandate

efficiently- particularly ensuring effective communication of NLC with the affected

communities. Members to SCRCC will include representation from the following

agencies and entities

Representative of NLC, as the chair of SCRCC to grant legitimacy to the

acquisition and resettlement process and ensure that legal procedures as

outlined in Land Act 2012 and binding document of the RPF are adhered

to.

The County Administration representative, which will provide the much

needed community mobilization, and support to the sub project and to the

process of resettlement

Land Survey Officer will survey all affected land and produce acquisition

map.

The District Gender and Social Development Officer, which will be

responsible for livelihood restoration programs.

The Lands Registrar will verify all affected land and validate the same.

Two PAP representative from Location Resettlement and Compensation

Committee – act as voice for the PAPs

67 National Land Commission is established by National Land Commission Act 2012 and Chapter 8 of Land Act 2012

outlines its specific role in compulsory acquisition process.


NGOs and CBOs locally active in relevant fields to ensure effectiveness,

fairness, just compensation, and transparent process in the whole

acquisition process.

The SCRCC will have the following specific responsibilities:

Ensuring effective flow of information between NLC and PAPs and the

implementing agency and the PAPs

Coordinate Locational Resettlement and Compensation Committees (LRCCs),

validate inventories of PAPs and affected assets;

Coordinate activities between the various organizations involved in relocation;

facilitate grievance and conflict resolution; and provide support and assistance to

vulnerable groups.

Conducting extensive public awareness and consultations with the affected people

so that they can air their concerns, interests and grievances.

Resolving disputes that may arise relating to resettlement process. If it is unable to

resolve any such problems, channel them through the appropriate formal

grievance procedures laid out in this RAP.

Assist with the livelihood restoration activities.

Locational Resettlement and Compensation Committee (LRCC)

Since sub Counties are fairly large, further decentralized resettlement unit will be formed

at the location of the sub project. Subsequently, Locational Resettlement and

Compensation Committees, based in each administrative location of sub projects, will be

established. The LRCCs will be constituted by MALF and SCRCCs through consultation

with the PAPs and will act as the voice of the PAPs. The LRCCs will work under

guidance and coordination of DRCC and implementing agencies.

LRCCs will be formed after the formation of the SCRCC. Their membership will

comprise of the following:

The locational Chief, who is the government administrative representative at

the locational unit and who deals with community disputes will represent the

Government in LRCC

Asistant Chiefs, who supports the locational Chief and Government in

managing local community disputes in village units will form membership

of the team.

Female PAP, elected by women PAPs, will represent women and children

related issues as regards resettlement and compensations

Youth representative, elected by youths, will represent youth related

concerns in the LRCCs

Male representatives elected by the members of the PAPs

Vulnerable persons representative, will deal and represent vulnerable

persons issues in the LRCC.

Business representative, will represent business people concerns in LRCC

CBO representatives

Membership of LRCCs will be elected by each category of PAPs except the locational

Chief and assistant chiefs who will automatically be members of the team by virtue of

their positions. Each of LRCCs will elect their own chairperson and a secretary among

themselves. The roles of LRCCs will include among others the following:


Conducting extensive public awareness and consultations with the affected

people.

Help ensure that local concerns raised by PAPs as regards resettlement and

compensation among others are promptly addressed by relevant authorities.

Assist the effective working of RAP consultants in preparation and

validation of the RAP

Resolve manageable disputes that may arise relating to resettlement and

compensation process. If it is unable to resolve, help refer such grievances to

the DRCC.

Ensure that the concerns of vulnerable persons such as the disabled,

widowed women, orphaned children affected by the sub project are

addressed.

Assit the PAPs in the rporcess of compensation, including helping those who

cannot write or read.

Help the vulnerbale during the compensation and restoration fo trthe

livelhoods

Ensure that all the PAPs in their locality are incormed about the content of

the RAP.


11. IMPLEMENTATION SCHEDULE, LINKING RESETTLEMENT

IMPLEMENTATION TO CIVIL WORKS

Before any sub project is implemented, PAPs will need to be fully compensated by NLC

in accordance with the principles of this RPF and the RAPs. For activities involving land

acquisition or loss, denial or restriction to access, it is further required that these measures

include provision of compensation and of other assistance required for relocation prior to

displacement and preparation of resettlement sites with adequate facilities, where

required. Taking of land and related assets may take place only after compensation has

been paid and where applicable, resettlement sites and moving allowances have been

provided to displaced persons. For sub project activities requiring relocation or loss of

shelter, the policy further requires that measures to assist the displaced persons are

implemented in accordance with the RPF and individual RAPs.

The schedule for the implementation of activities related to specific RAPs, will be

prepared based on the principles of this RPF, and must be agreed between the NLC,

MALF, SCRCCs and affected PAPs to give legitimacy to the whole process as outlined

in the law.

These will include the target dates for start and completion of civil works, the dates of the

possession of land and properties used by PAPs, dates of the full compensation, dates of

transfer of titles to NLC, and date of hand over of land to implementing agency. This

schedule will be determined by the NLC in consultation with the implementing agency,

SCRCCs and the PAPs. The consultation process will ensure that RAPs contains

acceptable measures agreed upon among all stakeholders that link resettlement activity to

civil works under each specific investment in compliance with this policy.

The timing mechanism of these measures will ensure that no individual or affected

household would be displaced (economically or physically) due to civil works activity

before compensation is paid and resettlement sites with adequate facilities are prepared

and provided for to the individual or homestead affected. Once finalised the RAP should

be sent to the RPLRP /PMU and the World Bank for final review and approval.

IMPLEMENTATION SCHEDULE

Given the nature of RPLRP, preparing an implementing schedule at moment is not

possible. Each sub project once identified and screened, if required, will prepare an

individual implementation schedule together with PMU, which will be included in the

RAP. Therefore all RAPs will include an implementation schedule for each activity

covering initial baseline and preparation, actual relocation, and post relocation economic

and social activities.

The plan will include a target date when the expected benefits for resettled persons and

hosts community, if relevant, would be achieved. Arrangements for monitoring of

implementation of the resettlement and evaluating its impact will be developed during the

preparation of individual RAPs implementation schedules. The principles for preparation

of monitoring and evaluation are discussed in Chapter 14, Monitoring and Evaluation.


Target dates for achievement of expected benefits to resettled persons and hosts will be

set and the various forms of assistance to the resettled persons will be disseminated to

them.

Planning and coordination of the tasks of the various actors involved in the RAP

implementation will be key to successful RAPs implementation. To achieve this,

workshops will be organized with the stakeholders and other relevant government

agencies, at individual sub project launching and at the commencement of every project

investment identified to have adverse social impacts. The workshops will focus on (i)

taking stock of the legal framework for compensation, (ii) describing institutional

arrangements and mechanisms for payment of compensation, (iii) defining tasks and

responsibilities of each stakeholder and (iv) establishing a work plan in accordance to

individual tasks in RAP.


12. GRIEVANCES REDRESS MECHANISMS

Grievance procedures are required to ensure that PAPs are able to lodge complaints or

concerns, without cost, and with the assurance of a timely and satisfactory resolution of

the issue. The procedures should also ensure that the entitlements are effectively

transferred to the intended beneficiaries. PAPs will be informed of the intention to

implement the grievance mechanism, and the procedures will be communicated at the

time of the preparation of investments’ specific RAPs.

Under RPLRP, grievances may arise from members of communities who are dissatisfied

with (i) the eligibility criteria; (ii) valuation of assets and compensation, or (iii) actual

implementation of RAPs, among others. This chapter sets out the measures to be used to

manage grievances.

The Land Act 2012 and National Land Commission Act 2012 obligate the NLC to

manage grievances and disputes related to resettlement or land amicably. NLC will be

expected to put in place mechanisms and structures that arbitrate or negotiate with PAPs

or landowners whenever there are any grievances concerning their compensation.

Overview

A key element of resettlement activities will be the development and implementation of a

grievance mechanism in all RPLRP sub projects. Grievances will be actively managed

and tracked to ensure that appropriate resolution and actions are taken. A clear time

schedule will be defined for resolving grievances under each investment, ensuring that

they are addressed in an appropriate and timely manner.

The grievance procedure will be simple and will be administered, as far as possible, at the

sub project level by the Sub County Resettlement and Compensation Committee

(SCRCC).

Cascading down, there will be Locational Resettlement and Compensation Committees

(LRCCs) based in each administrative location. It will be established by SCRCC through

PAPs consultative meetings chaired the representative of implementing agency. LRCC

will act as the voice of the PAPs and will work under guidance and coordination of

SCRCC in handling PAPs’ grievances. Some of the grievances can be resolved at this

level. If not, the LRCC will assist the PAPs to address their grievances to the DRCC.

The grievance procedure outlined in this RPF will not replace existing legal dispute and

grievance redress in the country especially in respect to what will be set up by the NLC,

which PAPs will be persuaded to use an option of last resort if they feel dissatisfied.

Based on consensus, the SCRCCs and LRCCs will seek to resolve issues quickly in order

to expedite the receipt of entitlements, without resorting to expensive and time-

consuming legal actions that may delay the implementation of a sub project. If the

grievance procedure fails to provide a result, complainants can still seek legal redress.


Steps involved with the grievance management include:

During the initial stages of the valuation process, the affected persons will be

given copies of grievance procedures as a guide on how to handle the grievances.

This will include who to contact (a phone number, address and location, time) as

well as type of grievances they can refer to this committee.

The process of grievance redress will start with registration of the grievances to

be addressed for reference at the locational level through LRCC. In all instances,

records will be kept to enable progress updates of the cases.

Traditional local mechanisms will be used and will include local leaders and the

affected persons trying to find a solution with the concerned parties.

In cases where a solution cannot be found at the locational or LRCC level

reference will be made to the DRCC.

These will ensure transparency, fairness, consensus building across cases,

eliminate nuisance claims and satisfy legitimate claimants at low cost.

The response time will depend on the issue to be addressed but all measures will

be put in place to ensure efficiency,

Once the grievance is addressed and agreement reached, the compensation will

be paid to the PAPs.

All the processes will be documented, including the names, the type of the

grievances, what was done to resolves it, if it was resolved, if not what was the

next step taken.

Should a PAP refuse the compensation suggested, the individual PAP has the right to

take his/her case to the civil court for litigation.

THE GRIEVANCE REDRESS PROCESS

As noted earlier, grievance redress will be the functions of the LRCC and SCRCC

committees. A grievance log will be established by SCRCC and copies of the records

kept by both LRCC and SCRCC to be used for monitoring of complaints.

The grievance redress mechanisms will be designed with the objective of solving disputes

at the earliest possible time, which will be in the interest of all parties concerned and

therefore implicitly discourages referring such matters to the law courts for resolution,

which would otherwise take a considerably longer time. If LRCC cannot adequately

address the grievance, then reference will be made to SCRCC who shall strive to address

the grievances raised.

If a complaint pattern emerges, the implementing agency, SCRCC, and LRCC will

discuss possible remedial measures. The above institutions will be required to give advice

concerning the need for revisions of procedures. Once they agree on necessary and

appropriate changes, then a written description of the changed process will be made.

Implementing agencies, SCRCCs, LRCCs and the local leaders will be responsible for

communicating any changes to future potential PAPs when the consultation process with

them begins.


Detail procedures for grievance management

The procedure for managing grievances under all RPLRP sub projects will be as follows:

The affected person will file his/ her grievance, relating to any issue associated

with the resettlement process or compensation, in writing to the sub project

SCRCC. The grievance note should be signed and dated by the aggrieved person.

A selected member of the LRCC will act as the sub Project Liaison Officer (PLO)

who will be the direct liaison with PAPs.

The PLO will be working in collaboration with the other LRCCs members as well

as DRCC. Where the affected person is unable to write, the PLO will write the

note on the aggrieved person’s behalf. Any informal grievances will also be

documented by the sub Project Liaison officer. The note should be embossed

with aggrieved person’s signature or thumbprint. A sample grievance form is

provided in Annex 5. A copy of this completed form should be submitted by the

sub Project Liaison Officer to SCRCC.

1) The Sub Project Liaison Officer and LRCC will consult to determine the validity

of claims. If valid, the Committee will notify the complainant that s/he will be

assisted and a response will be given in the due time.

2) The LRCC will meet and respond within 14 days during which time any meetings

and discussions to be held with the aggrieved person will be conducted. If the

grievance relates to valuation of assets, a second or even a third valuation will be

undertaken, at the approval of SCRCC until it is accepted by both parties. These

should be undertaken by separate independent valuers than the person who

carried out the initial valuation. The more valuations that are required to achieve

an agreement by both parties, the longer the process will take. In this case, the

aggrieved person must be notified by the Sub Project Liaison Officer that his/her

complaint is being considered.

3) If the complainant’s claim is rejected by the Committees, the Sub Project Liaison

Officer will assist the aggrieved person to take the matter to the SCRCC. The

SCRCC will look at the complaint raised by the PAPs and provide direction,

explanation and a response. Sometimes, it will necessitate the aggrieved person to

present him or herself to SCRCC to explain him/herself. All efforts will be made

to try and reach some consensus with the complainant.

4) If the aggrieved person does not receive a response or is not satisfied with the

outcome by SCRCC within the agreed time, s/he may lodge his/her grievance to

the Land Office, also mandated to help resolve such matters and NLC.

5) Where the matters cannot be resolved through local routes, the grievance will be

referred to courts. The SCRCC will provide assistance at all stages to the

aggrieved person to facilitate resolution of their complaint and ensure that the

matter is addressed in the optimal way possible.


Grievance Log

The Sub Project Liaison officer will ensure that each complaint has an individual

reference number, and is appropriately tracked and recorded actions are completed. The

log also contains a record of the person responsible for an individual complaint, and

records dates for the following events:

Date the complaint was reported;

Date the grievance log was uploaded onto the Sub project database;

Date information on proposed corrective action sent to complainant (if

appropriate);

The date the complaint was closed; and

Date response was sent to complainant.

Monitoring Complaints

The Sub-Project Liaison Officer will be responsible for:

Providing the sub project SCRCC with a weekly report detailing the number and

status of complaints;

Any outstanding issues to be addressed;

Referring the complaints to the SCRCC if not solved at the LRCC level and

Monthly reports, including analysis of the type of complaints, levels of

complaints, and actions to reduce complaints.

Management of Grievances in the Kenya Land Laws

The current Kenyan constitution section 159, Land and Environmental Court Act 2011,

National Land Commission Act 2012 and Land Act 2012 advocates for alternative

dispute resolution mechanisms before seeking formal legal redress in disputes relating to

land and resettlement. In practise this can be the village head and other local or

traditional dispute resolution mechanisms.


13. RPF IMPLEMENTATION BUDGET

The actual cost of resettlement and compensation for each RPLRP sub project will be

determined during each socio-economic study for the preparation of the individual RAPs.

The Government of Kenya will finance all the resettlement compensations cost because

they are the party that would be impacting livelihoods. The total cost of resettlement

under RPLRP will depend on the number of sub projects that will lead to land

acquisition.

At this stage, it is not possible to estimate the exact number of people who may be

affected under RPLRP since the technical designs and details of all investments have not

yet been finalized. It is therefore not possible to provide an estimated budget for the total

cost of resettlement that may be associated with RPLRP implementation.

However, when these locations are known, and after the conclusion of the site-specific

socio-economic study, information on specific impacts, individual and household

incomes and numbers of affected people and other demographic data will be available, a

detailed and accurate budgets for each RAP will be prepared. Each RAP will include a

detailed budget, using the following template thus facilitating the preparation of a

detailed and accurate budget for resettlement and compensation.

PMU together with the relevant implementing agency for a given investment will prepare

the resettlement budget, which will be financed by the Government of Kenya through the

Ministry of Finance. At this stage all that can be reasonably and meaningfully prepared

is an indicative budget, highlighting key features the budget must contain, inter alia, as

follows;

Table 6. Illustrative Budget Template for the RAP

Asset acquisition Amount or number Total estimated cost Agency responsible

Land

Structure

Crops and economic tress

Community infrastructure

Land Acquisition and

Preparation

Land,

Structure,

Crops areas and others

Community infrastructure

Relocations

Transfer of possessions

Installation costs

Economic Rehabilitation

Livelihoods restoration

Training

Capital Investments

Technical Assistance

NGO support

Monitoring

Contingency


Table 7: Explanation of Assumptions on Indicative Budget # Item Costs (in KSHS)* Assumptions

1 Compensation for loss of

Land /hectare

For land acquisition purposes, based on cost

realized in projects involving similar issues in

Kenya.


Crops /hectare of farm lost

Includes costs of labor invested and average

of highest price of staple food crops as per

methods described in this RPF.


access to pastoralists N/A

Those affected would be provided with shared

access, or alternate routes (decision agreed

through consultation and participation of all)


access to fishing resources. /fishmonger

Data provided from revised socio-economic

study will determine market values of catch,

fish products etc. that is produced.

5 Compensation for other

livelihoods affected such as

gathering medical herbs and

plants from the forest, small

production such as bee keeper

loss of labor income for those

dependent on the land taken

N/A

Livelihood restoration program

6 Compensation for Buildings

and Structures

This compensation would be in-kind. These

new buildings would be built and then given

to those affected. Cost based on basic housing

needs for a family of ten, including house

with four bedrooms, ventilated pit latrines,

outside kitchen and storage.

7 Compensation for Trees /year/tree

Based on methods described in this RPF for

compensation for trees.

8 Cost of Relocation

Assistance/Expenses /household

This cost is to facilitate transportation, etc.

9 Cost of Restoration of

Individual Income Say

Assumed to be higher than the GDP/capita.

10 Cost of Restoration of

Household Income Say

Through employment in Program Activities.

11 Cost of Training Farmers ,

pastoralists and other PAPs

This is a mitigation measure which seeks to

involve those affected by the project activities.

This figure represents a costs of around

Kshs/person

12 NGO support

Number/years

Administrative support to undertake

livelihood restoration or monitoring and

evaluation of RAPs implementation

Cost of restoration of

livelihood for vulnerable /year/

Assumed to be higher than the GPP/capita

In addition to the budget for compensation, budget is needed for the following activities.

The budget presented here is indicative and may change substantially depending on the

type of sub projects and the number of training and workshops. This is just a sample to

indicate the need for these other budget items.


Table 8: Indicative Budget for the Next 5 years

Indicative Budgetary Item No. Unit cost (USD$) Total cost (USD$

1. Stakeholders trainings/ consultation

forums on RPF

568

100,000 500,000

2. Monitoring and evaluation studies on

the implementation of RAPs under

RPLRP

1069

100,000 500,000

3. Evaluation of Livelihood

empowerment programs under

RPLRP 70

10 200,000 1,000,000

4. RPLRP RAP training manual71

1 100,000 500,000

5. Annual RPF audit 8 100,00072

800,000

Total 2,260,000

Table 9: Assumptions for the RPF Budget line

Item Justification

1. Stakeholders trainings for GoK

institutions that will be involved

in the implementation of RAPs

under RPLRP

MALF and other GoK legal institutions charged with

compulsory acquisition will need to be taken through the

principles of this RPF. At the moment we cannot tell the

number of meetings that may be needed. However, in the

next 5 years we foresee at least one meeting every year.

The RPF will be adjusted accordingly depending on the

need and changes occasioned by current constitutional

reforms.

2. Monitoring and Evaluation of

RAPs under RPLRP

To ensure compliance to the principles of RPF, it is

expected that the RPLRP/PMU will carry out independent

studies assessing implemented RAPs, their compliance

with RPF principles.

3. Evaluation of livelihood programs

under RPLRP

As part of economic rehabilitation, RPLRP /PMU will

assess effectiveness of economic rehabilitation programs

under various RAPs implemented under RPLRP to ensure

lesson learning and improvement of effectiveness of such

programs over time.

4. Development of RPF – RAP

implementation manual

There will be need to develop a RAP implementation

manual that is line with RPF principles building on

68 In the 5 years, at least 5 meetings are envisaged for stakeholders involved in resettlement and compensation for

RPLRP. They will be organized at cost of US$100,000 per meeting to update and share lessons learnt in the

implementation of the RPF 69 To ensure compliance to the principles of RPF, it is expected that the PMU will recruit consultants to carry out

independent studies assessing compliance of the implemented RPLRP RAPs with RPF principles. 70 As part of economic rehabilitation, PMU will assess effectiveness of economic rehabilitation of RAPs under RPLRP

to ensure lesson learning and improvement. 71 A consultant will be recruited to prepare a RAP training manual for easier implementation of the RPLRP RAPs 72 An annual audit will be carried out with the engagement of the stakeholder. The amount is the cost of the each audit

meetings


lessons learnt.

5. RPF Annual Audit In view of the dynamism of the on-going reforms, the

RPLRP/PMU shall organize at least one annual audit

meeting for RPF Audit and 3 with NLC to review the

compulsory acquisition procedures in line with lessons

learnt built from previous resettlement program.

6. 20% contingency Shall support unforeseen contingencies in the

implementation of this RPF.


14. MECHANISMS FOR CONSULTATIONS AND PARTICIPATION IN

PLANNING, IMPLEMENTATION AND MONITORING

Public consultations and participation are essential because they afford potential PAPs

the opportunity to contribute to both the design and implementation of the project

activities and reduce the likelihood for conflicts between and among PAPs and

implementing agencies. The way land administration is undertaken in Kenya today is

based on long standing a traditional and cultural practice that makes public consultations

with the rural communities, indispensable. Effective and close consultations with PAPs

are a pre-requisite for project success. In recognition of this, particular attention will be

paid to public consultations with project-affected individuals/households/homesteads

when resettlement and compensation concerns are involved.

Public consultations will take place at the inception of the planning stages when the

potential land areas are being considered. The participation strategy will evolve around

the provision of a full opportunity for involvement. Therefore, as a matter of strategy,

public consultations will be an on-going activity taking place throughout the entire

project cycle. For example, public consultation will also occur during the preparation of

the (i) the socio-economic study, (ii) the resettlement and compensation plan (iv) the

environmental impact assessment and (v) during the preparation of the compensation

contract.

Public participation and consultations will take place through meetings, radio programs,

public meetings for the explanations of project ideas and requirements, preparation of the

RAPs and ESIAs, making public documents, including the RPF and consequents RAPs,

available at the national, local levels at suitable locations like the official

residences/offices of local chiefs/elders. These measures will take into account the low

literacy levels prevalent in these rural communities in Kenya by allowing enough time for

responses and feedback.

Notwithstanding, the best guarantor for public interest are the traditional and other local

leaders who are responsible members of their local communities and can inadvertently be

part of the potentially displaced (economically or physically) individuals/households

either in part or in whole.

The involvement of the PAPs, including the host communities, in case there is physical

resettlement and there is a host community, in planning prior to the move will be is

critical since initial resistance to the idea of involuntary resettlement is expected. To

obtain cooperation, participation and feedback with the resettled persons and hosts, space

will be provided for both to be actively involved in the preparation phase of the RAPs.

They will also be able to choose from a number of acceptable resettlement alternatives.

Particular attention will be given to vulnerable groups such as the landless, and women to

ensure that they are represented adequately in such arrangements.

Conflicts between hosts and resettled persons may develop as increased demands are

placed on land, water, forests, services etc. To mitigate the resettlement’s impact on host


populations, they will be informed and consulted and included in the planning meetings

for the resettlement exercise of affected person and impact mitigation plan for the

expansion of services. Any payments due to the hosts for land or other assets provided to

resettled persons will be promptly made.

Conditions and services in host communities should improve, or at least not deteriorate

with provision of improved education, water, health and production services as mitigation

to both groups. This will foster a better social climate for their integration. In the long

run, the extra investment will help prevent conflicts and secure the project’s aim.

Successful resettlement requires a timely transfer of responsibility from settlement

agencies to the resettled persons. On the other hand, local leadership must be encouraged

to assume responsibility for environmental management and infrastructure maintenance.

SCRCC and LRCC are expected to play an important role in the consultation process.

They will be in close contact with the affected communities and in continuous

communication with them about the RPLRP sub projects, their impacts, resettlement and

compensation processes, grievances management, among other things. They will also be

the ones communicating the cut-off date and other project related issues to the PAPs.

DATA COLLECTING PHASE

During the preparation of RPLRP sub project RAPs, preliminary public consultations and

socio-economic survey study will be undertaken. It will involve active participation of

the all PAPs in provision of preliminary data. PAPs will be important information

providers, enabling accurate and effective data. Information about proposed project will

also be explained to PAPs in the local language that they understand. Besides, PAPs will

be given platform to ask questions about the project, identify impact of the proposed

RPLRP sub projects, suggest mitigation measures and alternatives to be considered in the

technical design that limit impacts. The RAP preparation consultant will also labour to

provide rationale for data collection, discuss data with PAPs and give PAPs feedback on

the collected data.

IMPLEMENTATION OPERATION

During implementation, the PAPs will be informed about their rights and options, at

which point they will air their views. Cash compensation amount and size of land offered

for compensation will be presented to each eligible PAPs for consideration and

endorsement before cash payment or land compensation can be effected.

MONITORING AND EVALUATION PHASE

The PAPs representatives will participate in the project completion workshops, to give

their evaluation of the impacts of the project. They will also suggest corrective measures,

which may be used to improve implementation of other RPLRP supported projects. After

completion of all expropriation/compensation operations, the PAPs will be consulted in a

household survey to be undertaken as a monitoring and evaluation exercise.


15. ARRANGEMENTS FOR MONITORING AND EVALUATION

This chapter sets out requirements for the monitoring of the implementation of the RAPs,

which will be prepared in accordance to this RPF.

Overview

The arrangements for monitoring will fit the overall monitoring plan of the entire

RPLRP, which will be through the Ministry of Agriculture, Livestock and Fisheries

through the PMU. All RAPs will set major socio-economic goals by which to evaluate

their success which will include (i) affected individuals, households, and communities

being able to maintain their pre-project standard of living, and even improve on it, (ii) the

local communities remaining supportive of the project and (iii) the absence or prevalence

of conflicts (iv) project affected persons reporting satisfaction with the resettlement

operation. In order to assess whether these goals are met, RAPs will indicate parameters

to be monitored, institute monitoring milestones and provide resources necessary to carry

out the monitoring activities.

The objective of the monitoring will be to determine;

If affected people are satisfied with the actual resettlement process.

If affected people have been paid in full and before implementation of any RPLRP

sub project that is causing resettlement.

If affected individuals, households, and communities have been able to maintain

their pre-project standard of living, and even improve on it.

The census and/or the socio-economic survey study which are the basis for the

preparation of investment specific RAPs under the RPLRP, will be used as the base line

for the monitoring and evaluation of the individual RAPs.

WHO WILL DO THE MONITORING

RAP monitoring will be done at two levels, during the regular monitoring of the project

by the implementing agency every six months and by an external independent

consultant/agency that will be contracted on an annual basis. For the internal monitoring,

the SCRCC and LRCCs will be records are used. The TOR for the independent

consultant/agency or a research institute in charge of independent monitoring should be

cleared by the PMU.

METHODOLOGY USE FOR THE RAP MONITORING

Base line data will be collected from different sources, including the census and

socioeconomic study undertaken for the preparation of individual RAPs. In addition, the

information collected by the SCRCC and LRCC will be used. Finally, questionnaire (in

the case of independent monitoring), and focus groups discussions will be used to collect

data and information.

INDICATORS TO DETERMINE STATUS OF AFFECTED PEOPLE

A number of indicators will be used in order to determine the status of all affected people

under RPLRP sub projects.


Size of land compared to before,

Standard of house compared to before,

Level of participation in project activities;

Access to water, access to schools and health centres as it was before the project

Status of vulnerable people compared to before

Specific indicators may include the following, which would indicate a change:

Access/ distance/ quality of agricultural plots

Quality of, and access to, water

Number of people employed

Number of ‘vulnerable’ people

Number of grievances and time taken to resolve them. If not resolved, what were

the next steps

The local communities remaining supportive of the project.

The local communities reporting satisfaction with project resettlement

Most of the information for these indicators will be collected through survey, interviews

and focus group discussions with the affected communities. The data for these indicators

will be collected every six months during the RAP implementation by RPLRP/PMU,

SCRCC and an independent agency such as a research institute, a university or an NGO.

SCRCCs will also assist with collection of monitoring data of the RAPs implementation.

The pre-project census information will provide most, if not all of the required

information to set a baseline against which performance can be tracked.

In addition to the existing baseline data, the following steps will be taken to ensure the

proper monitoring of the RAPs:

Questionnaire data will be entered into a database for comparative analysis;

Each individual will have a compensation dossier recording his or her initial

situation, all subsequent project use of assets/improvements, and compensation

agreed upon and received;

SCRCC specifically the land’s office and County/sub County Social Development

Officer will maintain a complete database on every individual impacted by the

sub-project land use requirements.

Regular resettlement status reports submitted by the implementing agency will be

reviewed.

REGULAR MONITORING OF RPF/RAP IMPLEMENTATION

SCRCC will assist in compiling basic information related to compensation and send them

to the implementing agency as part of the regular monitoring. Some of the information

which will be collected at the SCRCC level will include: time to gauge the performance

of the:-

Length of time from project identification to payment of compensation to PAPs;

Timing of compensation in relation to commencement of physical works;


Amount of compensation paid to each PAP household (if in cash), or the nature of

compensation (if in kind);

Number of people raising grievances in relation to each project investment;

Number of unresolved grievances.

Number of vulnerable people assisted.

Number of livelihoods restored and types of the livelihood restoration

The RPLRP/PMU will review the statistics in order to determine whether the resettlement

planning arrangements as set out in this RPF are being adhered to. The implementing

agencies will directly monitor compensation as undertaken by NLC.

Financial records will be maintained by NLC and implementing agency to permit

calculation of the final cost of resettlement and compensation per individual or household

and they will be included in the monitoring report. The statistics will also be provided to

the external independent consultant/agency that will be contracted on an annual basis to

monitor the implementation of the RAPs.


15. ANNEXES

ANNEX 1: GLOSSARY OF TERMS

ANNEX 2: SAMPLE RESETTLEMENT SCREENING FORM

ANNEX 3: CENSUS AND LAND ASSET INVENTORY FORM

ANNEX 4: COMMUNITY ASSET AND INFRASTRUCTURE

ANNEX 5: SAMPLE GRIEVANCE REDRESS FORM

ANNEX 6: TORS FOR DEVELOPING A RAP

ANNEX 7: OUTLINE FOR THE RAP

ANNEX 8: INVOLUNTARY RESETTLEMENT OP.4.12

ANNEX 9: ISSUES RAISED DURING RPF CONSULTATION

ANNEX 10: LIST OF PARTICIPANTS AT THE CONSULTATION WORKSHOP

ANNEX 11: CONSULTATION SCHEDULE


ANNEX 1: GLOSSARY OF TERMS

DEFINITIONS

Unless the context dictates otherwise, the following terms will have the following

meanings:

“Replacement cost for houses and other structures” means the prevailing cost of

replacing affected structures, in an area and of the quality similar to or better than that of

the affected structures. Such costs will include: (a) transporting building materials to the

construction site; (b) any labor and contractors’ fees; and (c) any registration costs.

“Resettlement Assistance” means the measures to ensure that RPLRP Affected Persons

and Displaced Persons under various investments who may require to be physically

relocated are provided with assistance during relocation, such as moving allowances,

residential housing or rentals whichever is feasible and as required, for ease of

resettlement.

“The Resettlement Policy Framework (RPF)’ is an instrument to be used throughout

the Kenya Water Security and Climate Resilience Program implementation. The RPF sets

out the resettlement objectives and principles, organisational arrangements and funding

mechanisms for any resettlement, that may be necessary during RPLRP sub project

implementation. The RPF guides the preparation of Resettlement Action Plans of

individual investments in order to meet the needs of the people who may be affected by

the project. The Resettlement Action Plans (“RAPs”) for various investments under the

RPLRP will therefore be prepared in conformity with the provisions of this RPF.

“Census” means a field survey carried out to identify and determine the number of

Projected Affected Persons (PAP) or Displaced Persons (DPs) as a result of land

acquisition and related impacts under various investments in the RPLRP. The census

provides the basic information necessary for determining eligibility for compensation,

resettlement and other measures emanating from consultations with affected communities

and the local government institutions (LGIs).

“Cut-off date” is the date of commencement of the census of project affected persons,

within various projects areas under RPLRP, when those who will move to the area after

the time of census will not be compensated.

“Displaced Persons” mean persons who, for reasons due to involuntary acquisition or

voluntary contribution of their land and other assets under the various investments in

RPLRP, will suffer direct economic and or social adverse impacts, regardless of whether

or not the said Displaced Persons are physically relocated. These people may have their:

standard of living adversely affected, whether or not the Displaced Person will move to

another location; lose right, title, interest in any houses, land (including premises,

agricultural and grazing land) or any other fixed or movable assets acquired or possessed,

lose access to productive assets or any means of livelihood.


“Involuntary Displacement” means the involuntary acquisition of land resulting in

direct or indirect economic and social impacts caused by: Loss of benefits from use of

such land; relocation or loss of shelter; loss of assets or access to assets; or loss of income

sources or means of livelihood, whether the Displaced Persons has moved to another

location or not.

“Involuntary Land Acquisition” is when the project affected people need to be

relocated or give up their rights to land and other assets as a result of development

projects or other reasons which are beyond their control in this case the RPLRP PAPs.

“Land” refers to agricultural and/or non-agricultural land and any structures thereon

whether temporary or permanent and which may be required for the RPLRP.

“Land acquisition” means the possession of or alienation of land, buildings or other

assets thereon for purposes of the RPLRP.

Rehabilitation Assistance” means the provision of development assistance in addition to

compensation such as land preparation, credit facilities, training, or job opportunities,

needed to enable RPLRP Program Affected Persons and Displaced Persons to improve

their living standards, income earning capacity and production levels; or at least maintain

them at pre- RPLRP levels.

Resettlement and Compensation Plan”, also known as a “Resettlement Action Plan

(RAP)” or “Resettlement Plan” - is a resettlement instrument (document) to be

prepared for each individual sub projects under RPLRP which is prepared based on the

principles of this RPF. In such cases, land acquisition leads to physical displacement of

persons, and/or loss of shelter, and /or loss of livelihoods and/or loss, denial or restriction

of access to economic resources. Individual RAPs are prepared by the agencies in charge

of the development projects under the RPLRP. RAPs contain specific and legal binding

requirements to resettle and compensate the affected party before implementation of a

given sub projects under RPLRP program activities commences.

“Replacement cost” means replacement of assets with an amount sufficient to cover full

cost of lost assets and related transaction costs. It includes expenses that a person will

incur in order to replace his or her house or land (at market price) which could include

taxes and moving allowance. In terms of land, this may be categorised as follows; (a)

“Replacement cost for agricultural land” means the pre-RPLRP or pre-displacement,

whichever is higher, market value of land of equal productive potential or use located in

the vicinity of the affected land, plus the others costs of: (b) preparing the land to levels

similar to those of the affected land; and (c) any registration and transfer taxes;

Program Affected Person(s) (PAPs) are persons affected by land and other assets loss

as a result of a number of projects under RPLRP. These person(s) are affected because

they may lose, be denied, or be restricted access to economic assets; lose shelter, income

sources, or means of livelihood. These persons are affected whether or not they will move

to another location.


“Compensation” means the payment in kind, cash or other assets given in exchange for

the acquisition of land including fixed assets thereon as well as other impacts resulting

from RPLRP activities.


ANNEX 2: SAMPLE RESETTLEMENT SCREENING FORM

Project name:

Project Location

(Include map/sketch): (e.g. Sub County, Division, Location, and Village etc).

Type of activity: (e.g. new construction, rehabilitation, periodic maintenance)

Estimated Cost:

(Kenyan Shillings)

Proposed Date of

Commencement of Work:

Technical

Drawing/Specifications

Reviewed: (circle answer): Yes No

This report is to be kept short and concise.

1. Site Selection:

When considering the location of a project, rate the sensitivity of the proposed site in the

following table according to the given criteria. Higher ratings do not necessarily mean

that a site is unsuitable. They do indicate a real risk of causing undesirable adverse

environmental and social effects, and that more substantial environmental and/or social

planning may be required to adequately avoid, mitigate or manage potential effects.

Issues Site Sensitivity Rating

Low Medium

High

Low Medium High Low Medium

High

Involuntary

Resettlement

Low population

density;

dispersed

Population;

legal tenure is

well-defined.

Medium population

density; mixed

ownership and land

tenure.

High

population

density;

major towns

and villages;

low income

families

and/or illegal

ownership of

land;

communal

Properties.


2. Checklist questions:

Physical data: Yes/No answers and bullet lists preferred

except where descriptive detail is essential.

Site area in ha

Extension of or changes to existing

alignment

Any existing property to transfer to sub-

project

Any plans for new construction

Refer to project application for this information.

Land and resettlement: Yes/No answers and bullet lists preferred


Will the project involve loss of land and

other resources?

Will the project result into temporary or

permanent loss of crops, household

infrastructure like shelter, granaries or

latrines?

What is the likelihood of land purchase for

the subproject?

How will the proponent go about land

purchase?

What level or type of compensation is

planned?

Who will monitor actual payments?

Refer to the Resettlement Policy Framework.

Actions:

List outstanding actions to be cleared

before project appraisal.

Approval/rejection Yes/No answers and bullet lists preferred


Recommendations:

Requires a RAP to be submitted on date:

_________________________________

Does not require further studies

Reviewer: _____________________________________________________________

Name: ________________________________________________________________

Signature: _____________________________________________________________

Date: _________________________________________________________________


ANNEX 3: CENSUS AND LAND ASSET INVENTORY FORM

Socio-economic Household Datasheet of PAPs

Name of Interviewer

ID Code

Signature

Name of Supervisor

ID Code

(after verification of

interview)

Cell Name

ID Code

Number of

Concession in

Village

(GPS Coordinates)

Date: ……………………………………

Day Month Year

Name of Head of Extended Family :

Number of Nuclear Families in Extended

Residential Group

(including household of head of extended

family)


Household Interview

Name

and

Surnam

e

Relationshi

p to

Head of

Family

Sex Plac

e of

Birth

Ag

e

Marita

l

Status

Residenc

e

Tenure

Ethni

c

Grou

p

Religio

n

Educationa

l

Level

Income

Earner

Economic Activities

M F Ye

s

N

o

Primar

y

Secondar

y

1.

2.

3.

4.

5.

6.

7.

Relation to Head of Family : 1 HoH; 2 Spouse of HoH ; 3 Child of HoH; 4 Spouse of child of HoH ; 5 Grandchild of HoH; 6 Parent of

HoH; 7; 8

9 Other (specify) ; 0 No Answer.

Marital Status : 1Married ; 2 Widowed ; 3 Divorced ; 4 Unmarried; 0 No Answer.

Residential Status: 1 PRP (Permanent Resident) ; 2 RA (Resident absent) ; 3 Member of non-resident HH; 4 Visitor; 9 Other (specify)

; 0 No

Answer.

Occupations: -

Principle Occupation: 1. Farmer ; 2 Shepherd; 3 Household ; 4 Merchant; 5 Religious leader, teacher ; 6 Artisan ; 7 Transport ;

8 Unemployed; 9 Other (specify) ; 0 No Answer Secondary Occupations: idem.

Educational Level : 1 Illiterate ; 2 Three years or less; 3 Primary School ; 4 Secondary School ; 5 Technical School ; 6 Religious

School;

0 No Answer


Religion: 1 Christian (specify denomination) ; 2 Muslim ; 9 Other (specify) ; 0 No Answer

Land asset inventory for Project Affected People

Village: __________________________________________________

Date:________________________________

Cell: ____________________________________________________

Sur

vey

no.

Name

of

Head

of

House

hold

No. of

Perso

ns

in

house

hold

Tota

l

land

hold

ing

of

Hho

ld

(m2)

Land

to

be

acqui

red

(m2)

La

nd

Us

e

Ty

pe

*

Lo

ss

of

%

tot

al

Loss of assets Loss of crops Loss of

other

assets

Other losses

Struct

ures

Perma

nent

(m2)

Struct

ures

tempo

rary

(m2)

Area

of

reside

ntial

land

lost

(m2)

Frui

t

trees

lost

type

and

num

ber

Agricul

tural

land

lost

(m2)

Othe

r

(spec

ify)

e.g.

gravey

ards,

wells,

etc.

(type

and

no.)

Resid

ence

(rente

d)

Busi

ness

lost

Inco

me

loss

* Land types are as follows (please fill in the types of land for Kenya)

1. 3.

2. 4.


Entitlements of Project Affected People

Location: _________________________________________ Date: ________________________________

Village: ___________________________________________

Surv

ey

no.

Name of

Head of

Househ

old

Compensation for Land Compensation for

structures

Compensation for crops

and

Trees

Compensation for other

assets

and losses (e.g.,,

graveyards,

wells, businesses, etc)

Tota

l

(Ks

h)

Quanti

ty

(m2)

Unit

pric

e

(Ks

h)

per

m

Entitlem

ent

(Ksh)

Quanti

ty

(m2)

Unit

pric

e

(Ks

h)

per

m

Entitlem

ent

(Ksh)

Quanti

ty

(m2)

Unit

pric

e

(Ks

h)

per

M

Entitlem

ent

(Ksh)

Quanti

ty

(m2)

Unit

pric

e

(Ks

h)

per

m

Entitlem

ent

(Ksh)


ANNEX 4: COMMUNITY ASSETS AND INFRASTRUCTURE

Complete one form for each community asset

1. Village/town/city

2. Location

3. Camera and Photograph

Number

4. Type of structure or asset

01 School 08 Well 15 Water Supply

02 Clinic 09 Public Latrine 16 Sewerage

03 Church, Mosque or

Temple

10 Public Laundry 17 Garbage Site/Dump

04 Shrine 11 Play ground 18 Fish Pond

05 Town Hall 12 Cemetery 20 Other

06 Meeting Hall 13 Electric If other (please Specify)

07 Well 14 Public

Telephone

4. Name of structure

5. Formal owner of the structure

01 District Government

02 Community or Voluntary Organization

03 Private Individual

04 Other(please Specify)

6.Name and Address of owner

(Please state name and address of responsible chairman or secretary if the structure is owned by

a community organization or by government)

6. Plot Number

7. Telephone Number

8. Number of users of structure

per month

9. Plot Dimensions M

10. Plot Area M2

11. Land value per m2 KES

12. Land Value (no.s 11x12 from

Above

KES

13. Estimate of building area

M2

M X

1


14. Building materials

a. Floor b. Walls

1. Earthen 1. Earthen 1. Earthen

2 2Cement-plastered earthen

walls

2. Cement-plastered earthen walls 2. Cement-

plastered

earthen walls

3 Straw or bamboo 3. Straw or bamboo 3. Straw or

bamboo

4 Unbaked brick 4. Unbaked brick 4. Unbaked

brick

5 Baked Brick 5. Baked Brick 5 Baked Brick

6 Cement block 6. Cement block 6 Cement block

7 Galvanized tin 7. Galvanized tin 7 Galvanized

tin

8 Tile 8. Tile 8 Tile

9 Other (Specify) 9. Other (Specify) 9 Other

(Specify)

15. Building Value per m2

M2

16. Building Value (no.s 14x16)

Signature of owner of structure

Print name (Block Capitals)

Signature of Valuation Surveyor

Print name (Block Capitals

Date

c. Roofs


ANNEX 5: SAMPLE GRIEVANCE REDRESS FORM

Grievance Form Grievance Number Copies to forward to:

Name of the Recorder (Original)-Receiver Party

District (Copy)-Responsible Party

Date

INFORMATION ABOUT GRIEVANCE Define The Grievance:

INFORMATION ABOUT THE COMPLAINANT Forms of Receive

Name-Surname □Phone Line

□ Community/ Information

Meetings

□ Mail

□ Informal

□ Other

Telephone Number Address Village District Signature of Complainant

DETAILS OF GRIEVANCE

1. Access to Land

and Resources

a) Fishing grounds

b) Lands

c) Pasturelands

d) House

e) Commercial site

f) Other

2. Damage to

a) House

b) Land

c) Livestock

d) Means of

livelihood

e) Other

3. Damage to

Infrastructure or

Community Assets

a) Road/Railway

b) Bridge/

Passageways

c)Power/Telephone

Lines

d) Water sources,

canals

and water

infrastructure

for irrigation and

animals

e) Drinking water

f) Sewerage System

g) Other

4. Decrease or

Loss of

Livelihood

a) Agriculture

b) Animal

husbandry

c) Beekeeping

d) Small scale

trade

e) Other

5. Traffic

Accident

a) Injury

b) Damage to

property

c) Damage to

livestock

d) Other

6. Incidents

Regarding

Expropriation and

Compensation

(Specify)

7. Resettlement

Process (Specify) 8.Employment

and

Recruitment

(Specify)

9. Construction

Camp

and Community

Relations a) Nuisance from dust

b) Nuisance from noise

c) Vibrations due to

explosions

d) Misconduct of the

project personal/worker

e) Complaint follow up

f) Other

10. Other

(Specify)


ANNEX 6: DRAFT TORS FOR THE DEVELOPMENT OF RESETTLEMENT

ACTION PLAN (RAP)

The scope and level of detail for the development of individual RAPs plan depends on

the project type and project impact. The following sample is written for sub projects

with substantial impact and can be tailored based on the type and the impact of the

sub projects. With this caveat, following are what is needed for the TOR for the RAP

preparation.

a) Description of the investment/project under RPLRP, project area and area of

influence: Information presented in this section will include description of the project

area showing location, sitting of plants, structures, lands, affected dwellings etc;

RPLRP objectives and strategy; the investment/project objectives; policy and legal

framework; timeframe; geographical coverage; project strategic context and rationale.

b) Potential Impacts: Description of investment/project components or activities,

which would trigger resettlement; the cultural, social, economic and environmental

impacts envisioned; and the alternatives considered to avoid or minimize resettlement.

c) Community Participation: This sub-section includes:-

Description of the consultation and participation of the displaced and host

communities in design and implementation of resettlement activities including a

summary of the views expressed and how these views were incorporated during

the preparation of the resettlement plan.

A review of the resettlement alternatives identified and choices made by the

displaced people, including choices related to forms of compensation and

resettlement assistance, relocating as individual families or as part of pre-existing

families and to retaining access to cultural property (e.g. cemeteries, places of

worship etc)

Description of procedures for redress of grievances by affected people throughout

the planning and implementation period.

Description of measures aimed at sensitizing and educating the affected and host

communities on matters of resettlement.

d) Integration with host communities

Arrangements for consultation with host communities and procedures for

prompt payment to the host for land and other assets should be provided to the

resettled persons.

Arrangements for resolving conflicts which may arise between the resettled

persons.

Arrangements for resolving conflicts which may arise between the resettled

persons and host communities should be put in place.

Appropriate measures to augment public services such as education, water,

health in host communities in order to avoid disparities between resettled

persons and the host communities should be put in place.

Plan for resettled persons should be integrated economically and socially into

host communities so that adverse impacts to host communities are minimized.

e) Socio-economic Studies

These will include the following: - Population census of the project area including a

description of production systems, household organization, baseline information on

livelihoods and standards of living of the displaced population (and host

communities)


An inventory of assets of displaced households; the magnitude of the expected

loss (total or partial for individual or group assets); and extent of physical and

economic displacement;

Information on disadvantaged/vulnerable groups or persons for whom special

provisions may have to be made. Such groups and persons include those living

below the poverty line, the landless, the elderly, women, children, indigenous

people, ethnic minorities and displaced persons who are not protected through

national land compensation legislation. Resettlement involving

vulnerable/disadvantaged groups/persons should be preceded by a social

preparation phase to build their capacity to deal with issues of resettlement;

Provisions for updating information on the livelihood of displaced people and

their standards of living at regular intervals;

Description of land tenure systems including common property and non-title

based land ownership or allocation recognized locally and related issues;

Public infrastructure and social services that will be affected; and

Social and cultural characteristics of displaced and host communities.

Appropriate patterns of social organization should be promoted and the

existing social and cultural institutions of resettled persons and their host

should be retained, supported and used to the extent possible.

(f) Institutional arrangement and responsibilities

This will be the same as the RPF

(g) Eligibility

Definition of displaced persons and criteria for compensation and other resettlement

assistance including relevant cut off dates. The assurance should be given that lack of

legal title should not bar affected persons form being compensated.

(h) Valuation and Compensation for losses

The methodology to be employed for valuing losses in order to determine their

replacement cost. This is a description of the levels of compensation under the

local laws and supplementary measures aimed at determining replacement of

cost for lost assets.

A description of the packages of compensation and other resettlement

measures that will ensure that each category of eligible displaced persons get

their fair compensation. In conformity with the World Bank Operational

Policy (OP.4.12 of Dec 2001, updated February 2011), displaced persons

should be assisted in their efforts to improve their livelihoods and standards of

living or at least to restore them to pre-displacement levels or to levels

prevailing prior to the start of project implementation whichever is higher.

(i) Identification of alternative sites, selection of resettlement site(s), site

preparation and relocation

Institutional and technical arrangements for identifying and preparing

relocation sites for which a combination of productive potential, location

advantages and other factors, should be at least comparable to ancillary

resources.

Procedures for physical relocation including timetable for site preparation and

land title transfer and description of resettlements sites.

Measures to prevent the influx of ineligible person (encroachers and squatters)

into the selected sites such as the identification and recording of affected

people at the project identification stages.

Legal arrangements for regularizing tenure and transferring titles to resettled

persons.


(j) Shelter, infrastructure and social services

This sub-section provides details regarding plans to provide or finance housing,

infrastructure (e.g. roads, water supply etc) and social services (schools, health

services) and plans aimed at ensuring that services and any necessary site

development to host.

(k) Environmental protection: An assessment of possible environmental impacts of

the proposed resettlement and measures to mitigate and manage the impacts.

(l) Implementation Schedules

An implementation schedule covering all resettlement activities from project

preparation through implementation to monitoring and evaluation. The schedule

should indicate dates for achievement of expected benefits to resettled persons and

hosts and dates for terminating the various forms of assistance.

(m) Costs and Budget

The breakdown of cost estimates for all resettlement activities including allowances

for inflation and other contingencies, timetable for expenditures, sources of funds and

arrangements for timely disbursement of funds.

(n) Monitoring and evaluation

Under this sub-section, information regarding arrangements for monitoring of

resettlement activities by the implementing agency is presented. When appropriate,

independent monitors will supplement the role of the implementing agency to ensure

objectivity and completeness of information. Performance indicators for measuring

inputs, outputs and outcomes of resettlement activities and for evaluating impacts for

a reasonable period of time after the resettlement activities have been completed are

also presented. (Similar to the RPF)

(o) Commitment to follow RPF guidelines and requirement

A statement of assurance that the implementing agency will follow the guidelines and

requirement of the RPF should be included in the RAP.

(p) Description of programmes for improvement and restoration of livelihoods

and standards of living of the affected people.

Programmes aimed at improving and restoring the livelihoods and standards of living

of the affected people in line with the Resettlement Policy framework


ANNEX 7: OUTLINE OF RESETTLEMENT ACTION PLAN

According to the OP 4.12, annex A, paragraph 24, when there is RPF, which is the

case of RPLRP, then the RAP can be much shorter. It notes: “When resettlement

policy framework is the only document that needs to be submitted as a condition of

the loan, the resettlement plan to be submitted as a condition of sub project financing

need not include the policy principles, entitlements, the eligibility criteria,

organizational arrangements, arrangements for monitoring and evaluation, the

framework for participation, and mechanisms for grievance readdress set forth in the

resettlement policy framework. The sub project specific resettlement plan needs to

include base line census and socioeconomic survey information; specific

compensation rates and standards; policy entitlements related to any additional impact

identifies through the census or survey; description of resettlement sites and programs

for improvement or restoration of livelihoods and standards of living; implementation

schedule for resettlement activities; and detailed cost estimate”. This, in addition to

the detailed description of the project and its impacts are needed to be included in the

RAPs prepared under the RPLRP.

Therefore, the following is a more elaborate RAP outline, prepared for the projects

without a RPF. It is included in this RPF since it provides detailed outlined for what

is needed to be in each section. However, not all sections are required for the

individual RAPs, as explained above.

Introduction

It briefly describes the project.

Lists project components including associated facilities (if any).

Describes project components requiring land acquisition and resettlement;

give overall estimates of land acquisition and resettlement.

Minimizing Resettlement

Describes efforts made to minimize displacement.

Describes the results of these efforts.

Describes mechanisms used to minimize displacement during implementation.

Census and Socio-economic Surveys

Provides the results of the census, assets inventories, natural resource

assessments, and socioeconomic surveys.

Identifies all categories of impacts and people affected.

Summarizes consultations on the results of the various surveys with affected

people.

Describes need for updates to census, assets inventories, resource assessments,

and socio economic surveys, if necessary, as part of RAP monitoring and

evaluation.

Legal Framework

Describes all relevant local laws and customs that apply to resettlement.

Identifies gaps between local laws and World Bank Group policies, and

describe project-specific mechanisms to address conflicts.

Describes entitlement policies for each category of impact and specify that

resettlement implementation will be based on specific provisions of agreed

RAP.

Describes method of valuation used for affected structures, land, trees, and

other assets.

Prepares entitlement matrix.


Resettlement Sites

Describes the specific process of involving affected populations in identifying

potential housing sites, assessing advantages and disadvantages, and selecting

sites.

Describes the feasibility studies conducted to determine the suitability of the

proposed sites, including natural resource assessments (soils and land use

capability, vegetation and livestock carrying capacity, water resource surveys)

and environmental and social impact assessments of the sites.

Demonstrates that the land quality and area are adequate for allocation to all of

the people eligible for allocation of agricultural land.

Provides data on land quality and capability, productive potential, and

quantity.

Give calculations relating to site requirements and availability.

Describes mechanisms for: 1) procuring, 2) developing and 3) allotting

resettlement sites, including the awarding of title or use rights to allotted lands.

Provides detailed description of the arrangements for site development for

agriculture, including funding of development costs.

Have the host communities been consulted about the RAP? Have they

participated in the identification of likely impacts on their communities,

appropriate mitigation measures, and preparation of the RAP?

Do the host communities have a share of the resettlement benefits?

Income Restoration

Describes if there are compensation entitlements sufficient to restore income

streams for each category of impact?

Describes additional economic rehabilitation measures are necessary?

Briefly spell out the restoration strategies for each category of impact and

describe their institutional, financial, and technical aspects.

Describes the process of consultation with affected populations and their

participation in finalizing strategies for income restoration.

Explains if income restoration requires change in livelihoods, development of

alternative farmlands or some other activities that require a substantial amount

of training, time for preparation, and implementation?

Describes how the risks of impoverishment are to be addressed?

Describes the main institutional and other risks for the smooth implementation

of the resettlement programs?

Describes the process for monitoring the effectiveness of the income

restoration measures.

Describes any social or community development programs currently operating

in or around the project area.

If program exist, do they meet the development priorities of their target

communities? Are there opportunities for the project proponent to support new

program or expand existing programs to meet the development priorities of

communities in the project area?

Institutional Arrangements

Describes the institution(s) responsible for delivery of each item/activity in the

entitlement policy


Describes the Implementation of income restoration programs; and

coordination of the activities associated with and described in the resettlement

action plan.

States how coordination issues will be addressed in cases where resettlement

is spread over a number of jurisdictions or where resettlement will be

implemented in stages over a long period of time.

Identifies the agency that will coordinate all implementing agencies. Does it

have the necessary mandate and resources?

Describes the external (non-project) institutions involved in the process of

income restoration (land development, land allocation, credit, and training)

and the mechanisms to ensure adequate performance of these institutions.

Discusses institutional capacity for and commitment to resettlement.

Describes mechanisms for ensuring independent monitoring, evaluation, and

financial audit of the RAP and for ensuring that corrective measures are

carried out in a timely manner.

Implementation Schedule

Lists the chronological steps in implementation of the RAP, including

identification of agencies responsible for each activity and with a brief

explanation of each activity.

Prepares a month-by-month implementation schedule of activities to be

undertaken as part of resettlement implementation.

Describes the linkage between resettlement implementation and initiation of

civil works for each of the project components.

Participation and Consultation

Describes the various stakeholders.

Describes the process of promoting consultation/participation of affected

populations and stakeholders in resettlement preparation and planning.

Describes the process of involving affected populations and other stakeholders

in implementation and monitoring.

Describes the plan for disseminating RAP information to affected populations

and stakeholders, including information about compensation for lost assets,

eligibility for compensation, resettlement assistance, and grievance redress.

Grievance Redress

Describes the step-by-step process for registering and addressing grievances

and provide specific details regarding a cost-free process for registering

complaints, response time, and communication methods.

Describes the mechanism for appeal.

Describes the provisions for approaching civil courts if other options fail.

Monitoring and Evaluation

Describes the internal/performance monitoring process.

Defines key monitoring indicators derived from baseline survey. Provide a list

of monitoring indicators that will be used for internal monitoring.

Describes institutional (including financial) arrangements.

Describes frequency of reporting and content for internal monitoring.

Describes process for integrating feedback from internal monitoring into

implementation.


Defines methodology for external monitoring.

Defines key indicators for external monitoring.

Describes frequency of reporting and content for external monitoring.

Describes process for integrating feedback from external monitoring into

implementation.

Describes arrangements for final external evaluation.

Costs and Budgets

Provides a clear statement of financial responsibility and authority.

Lists the sources of funds for resettlement and describe the flow of funds.

Ensures that the budget for resettlement is sufficient and included in the

overall project budget.

Identifies resettlement costs, if any, to be funded by the government and the

mechanisms that will be established to ensure coordination of disbursements

with the RAP and the project schedule.

Prepares an estimated budget, by cost and by item, for all resettlement costs

including planning and implementation, management and administration,

monitoring and evaluation, and contingencies.

Describes the specific mechanisms to adjust cost estimates and compensation

payments for inflation and currency fluctuations.

Describes the provisions to account for physical and price contingencies.

Describes the financial arrangements for external monitoring and evaluation

including the process for awarding and maintenance of contracts for the entire

duration of resettlement.

Annexes

Copies of census and survey instruments, interview formats, and any other

research tools.

Information on all public consultation including announcements and schedules

of public meetings,

Meeting minutes, and lists of attendees.


ANNEX 8: OP 4.12 - INVOLUNTARY RESETTLEMENT

Revised February 2011

1. Bank experience indicates that involuntary resettlement under development

projects, if unmitigated, often gives rise to severe economic, social, and

environmental risks: production systems are dismantled; people face impoverishment

when their productive assets or income sources are lost; people are relocated to

environments where their productive skills may be less applicable and the competition

for resources greater; community institutions and social networks are weakened; kin

groups are dispersed; and cultural identity, traditional authority, and the potential for

mutual help are diminished or lost. This policy includes safeguards to address and

mitigate these impoverishment risks.

Policy Objectives

2. Involuntary resettlement may cause severe long-term hardship, impoverishment,

and environmental damage unless appropriate measures are carefully planned and

carried out. For these reasons, the overall objectives of the Bank's policy on

involuntary resettlement are the following:

(a) Involuntary resettlement should be avoided where feasible, or minimized,

exploring all viable alternative project designs.

(b) Where it is not feasible to avoid resettlement, resettlement activities should be

conceived and executed as sustainable development programs, providing sufficient

investment resources to enable the persons displaced by the project to share in project

benefits. Displaced persons should be meaningfully consulted and should have

opportunities to participate in planning and implementing resettlement programs.

(c) Displaced persons should be assisted in their efforts to improve their livelihoods

and standards of living or at least to restore them, in real terms, to pre-displacement

levels or to levels prevailing prior to the beginning of project implementation,

whichever is higher.

Impacts Covered

3. This policy covers direct economic and social impacts that both result from Bank-

assisted investment projects, and are caused by

(a) The involuntary taking of land resulting in

(i) Relocation or loss of shelter;

(ii) Loss of assets or access to assets; or

(iii) Loss of income sources or means of livelihood, whether or not the affected

persons must move to another location; or

(b) The involuntary restriction of access to legally designated parks and protected

areas resulting in adverse impacts on the livelihoods of the displaced persons.


4. This policy applies to all components of the project that result in involuntary

resettlement, regardless of the source of financing. It also applies to other activities

resulting in involuntary resettlement that in the judgment of the Bank, are

(a) Directly and significantly related to the Bank-assisted project,

(b) Necessary to achieve its objectives as set forth in the project documents; and

(c) Carried out, or planned to be carried out, contemporaneously with the project.

5. Requests for guidance on the application and scope of this policy should be

addressed to the Resettlement Committee (see BP 4.12, para. 7).

Required Measures

6. To address the impacts covered under para. 3 (a) of this policy, the borrower

prepares a resettlement plan or a resettlement policy framework (see paras. 25-30)

that covers the following:

(a) The resettlement plan or resettlement policy framework includes measures to

ensure that the displaced persons are

(i) informed about their options and rights pertaining to resettlement;

(ii) Consulted on, offered choices among, and provided with technically and

economically feasible resettlement alternatives; and

(iii) Provided prompt and effective compensation at full replacement cost for losses of

assets attributable directly to the project.

(b) If the impacts include physical relocation, the resettlement plan or resettlement

policy framework includes measures to ensure that the displaced persons are

(i) Provided assistance (such as moving allowances) during relocation; and

(ii) Provided with residential housing, or housing sites, or, as required, agricultural

sites for which a combination of productive potential, locational advantages, and other

factors is at least equivalent to the advantages of the old site.

(c) Where necessary to achieve the objectives of the policy, the resettlement plan or

resettlement policy framework also include measures to ensure that displaced persons

are

(i) offered support after displacement, for a transition period, based on a reasonable

estimate of the time likely to be needed to restore their livelihood and standards of

living; and

(ii) Provided with development assistance in addition to compensation measures

described in paragraph 6(a);

(iii) Such as land preparation, credit facilities, training, or job opportunities.

http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/EXTPOLICIES/EXTOPMANUAL/0,,contentMDK:20064675~menuPK:64701637~pagePK:64709096~piPK:64709108~theSitePK:502184~isCURL:Y,00.html


7. In projects involving involuntary restriction of access to legally designated parks

and protected areas (see para. 3(b)), the nature of restrictions, as well as the type of

measures necessary to mitigate adverse impacts, is determined with the participation

of the displaced persons during the design and implementation of the project. In such

cases, the borrower prepares a process framework acceptable to the Bank, describing

the participatory process by which:

(a) Specific components of the project will be prepared and implemented;

(b) The criteria for eligibility of displaced persons will be determined;

(c) Measures to assist the displaced persons in their efforts to improve their

livelihoods, or at least to restore them, in real terms, while maintaining the

sustainability of the park or protected area, will be identified; and

(d) Potential conflicts involving displaced persons will be resolved.

The process framework also includes a description of the arrangements for

implementing and monitoring the process.

8. To achieve the objectives of this policy, particular attention is paid to the needs of

vulnerable groups among those displaced, especially those below the poverty line, the

landless, the elderly, women and children, indigenous peoples,15

ethnic minorities, or

other displaced persons who may not be protected through national land

compensation legislation.

9. Bank experience has shown that resettlement of indigenous peoples with traditional

land-based modes of production is particularly complex and may have significant

adverse impacts on their identity and cultural survival. For this reason, the Bank

satisfies itself that the borrower has explored all viable alternative project designs to

avoid physical displacement of these groups. When it is not feasible to avoid such

displacement, preference is given to land-based resettlement strategies for these

groups (see para. 11) that are compatible with their cultural preferences and are

prepared in consultation with them (see Annex A, para. 11).

10. The implementation of resettlement activities is linked to the implementation of

the investment component of the project to ensure that displacement or restriction of

access does not occur before necessary measures for resettlement are in place. For

impacts covered in para. 3(a) of this policy, these measures include provision of

compensation and of other assistance required for relocation, prior to displacement,

and preparation and provision of resettlement sites with adequate facilities, where

required. In particular, taking of land and related assets may take place only after

compensation has been paid and, where applicable, resettlement sites and moving

allowances have been provided to the displaced persons. For impacts covered in para.

3(b) of this policy, the measures to assist the displaced persons are implemented in

accordance with the plan of action as part of the project (see para. 30)

11. Preference should be given to land-based resettlement strategies for displaced

persons whose livelihoods are land-based. These strategies may include resettlement

on public land (see footnote 1 above), or on private land acquired or purchased for

resettlement. Whenever replacement land is offered, resettlers are provided with land



for which a combination of productive potential, locational advantages, and other

factors is at least equivalent to the advantages of the land taken. If land is not the

preferred option of the displaced persons, the provision of land would adversely affect

the sustainability of a park or protected area, or sufficient land is not available at a

reasonable price, non-land-based options built around opportunities for employment

or self-employment should be provided in addition to cash compensation for land and

other assets lost. The lack of adequate land must be demonstrated and documented to

the satisfaction of the Bank.

12. Payment of cash compensation for lost assets may be appropriate where (a)

livelihoods are land-based but the land taken for the project is a small fraction of the

affected asset and the residual is economically viable; (b) active markets for land,

housing, and labour exist, displaced persons use such markets, and there is sufficient

supply of land and housing; or (c) livelihoods are not land-based. Cash compensation

levels should be sufficient to replace the lost land and other assets at full replacement

cost in local markets.

13. For impacts covered under para. 3(a) of this policy, the Bank also requires the

following:

(a) Displaced persons and their communities, and any host communities receiving

them, are provided timely and relevant information, consulted on resettlement

options, and offered opportunities to participate in planning, implementing, and

monitoring resettlement. Appropriate and accessible grievance mechanisms are

established for these groups.

(b) In new resettlement sites or host communities, infrastructure and public services

are provided as necessary to improve, restore, or maintain accessibility and levels of

service for the displaced persons and host communities. Alternative or similar

resources are provided to compensate for the loss of access to community resources

(such as fishing areas, grazing areas, fuel, or fodder).

(c) Patterns of community organization appropriate to the new circumstances are

based on choices made by the displaced persons. To the extent possible, the existing

social and cultural institutions of resettlers and any host communities are preserved

and resettlers' preferences with respect to relocating in pre-existing communities and

groups are honoured.

Eligibility for Benefits

14. Upon identification of the need for involuntary resettlement in a project, the

borrower carries out a census to identify the persons who will be affected by the

project (see the Annex A, para. 6(a)), to determine who will be eligible for assistance,

and to discourage inflow of people ineligible for assistance. The borrower also

develops a procedure, satisfactory to the Bank, for establishing the criteria by which

displaced persons will be deemed eligible for compensation and other resettlement

assistance. The procedure includes provisions for meaningful consultations with

affected persons and communities, local authorities, and, as appropriate,

nongovernmental organizations (NGOs), and it specifies grievance mechanisms.



15. Criteria for Eligibility. Displaced persons may be classified in one of the

following three groups:

(a) Those who have formal legal rights to land (including customary and traditional

rights recognized under the laws of the country);

(b) Those who do not have formal legal rights to land at the time the census begins

but have a claim to such land or assets--provided that such claims are recognized

under the laws of the country or become recognized through a process identified in

the resettlement plan (see Annex A, para. 7(f)); and

(c) Those who have no recognizable legal right or claim to the land they are

occupying.

16. Persons covered under para. 15(a) and (b) are provided compensation for the land

they lose, and other assistance in accordance with para. 6. Persons covered under

para. 15(c) are provided resettlement assistance in lieu of compensation for the land

they occupy, and other assistance, as necessary, to achieve the objectives set out in

this policy, if they occupy the project area prior to a cut-off date established by the

borrower and acceptable to the Bank. Persons who encroach on the area after the cut-

off date are not entitled to compensation or any other form of resettlement assistance.

All persons included in para. 15(a), (b), or (c) is provided compensation for loss of

assets other than land.

Resettlement Planning, Implementation, and Monitoring

17. To achieve the objectives of this policy, different planning instruments are used,

depending on the type of project:

(a) A resettlement plan or abbreviated resettlement plan is required for all operations

that entail involuntary resettlement unless otherwise specified (see para. 25 and

Annex A);

(b) A resettlement policy framework is required for operations referred to in paras.

26-30 that may entail involuntary resettlement, unless otherwise specified

(c) A process framework is prepared for projects involving restriction of access in

accordance with para. 3(b) (see para. 31).

18. The borrower is responsible for preparing, implementing, and monitoring a

resettlement plan, a resettlement policy framework, or a process framework (the

"resettlement instruments"), as appropriate, that conform to this policy. The

resettlement instrument presents a strategy for achieving the objectives of the policy

and covers all aspects of the proposed resettlement. Borrower commitment to, and

capacity for, undertaking successful resettlement is a key determinant of Bank

involvement in a project.

19. Resettlement planning includes early screening, scoping of key issues, the choice

of resettlement instrument, and the information required to prepare the resettlement

component or subcomponent. The scope and level of detail of the resettlement

instruments vary with the magnitude and complexity of resettlement. In preparing the

resettlement component, the borrower draws on appropriate social, technical, and

legal expertise and on relevant community-based organizations and NGOs. The




borrower informs potentially displaced persons at an early stage about the

resettlement aspects of the project and takes their views into account in project design.

20. The full costs of resettlement activities necessary to achieve the objectives of the

project are included in the total costs of the project. The costs of resettlement, like the

costs of other project activities, are treated as a charge against the economic benefits

of the project; and any net benefits to resettlers (as compared to the "without-project"

circumstances) are added to the benefits stream of the project. Resettlement

components or free-standing resettlement projects need not be economically viable on

their own, but they should be cost-effective.

21. The borrower ensures that the Project Implementation Plan is fully consistent with

the resettlement instrument.

22. As a condition of appraisal of projects involving resettlement, the borrower

provides the Bank with the relevant draft resettlement instrument which conforms to

this policy, and makes it available at a place accessible to displaced persons and local

NGOs, in a form, manner, and language that are understandable to them. Once the

Bank accepts this instrument as providing an adequate basis for project appraisal, the

Bank makes it available to the public through its Info Shop. After the Bank has

approved the final resettlement instrument, the Bank and the borrower disclose it

again in the same manner.

23. The borrower's obligations to carry out the resettlement instrument and to keep the

Bank informed of implementation progress are provided for in the legal agreements

for the project.

24. The borrower is responsible for adequate monitoring and evaluation of the

activities set forth in the resettlement instrument. The Bank regularly supervises

resettlement implementation to determine compliance with the resettlement

instrument. Upon completion of the project, the borrower undertakes an assessment to

determine whether the objectives of the resettlement instrument have been achieved.

The assessment takes into account the baseline conditions and the results of

resettlement monitoring. If the assessment reveals that these objectives may not be

realized, the borrower should propose follow-up measures that may serve as the basis

for continued Bank supervision, as the Bank deems appropriate (see also BP 4.12,

para. 16).

Resettlement Instruments

Resettlement Plan

25. A draft resettlement plan that conforms to this policy is a condition of appraisal

(see Annex A, paras. 2-21) for projects referred to in para. 17(a) above. However,

where impacts on the entire displaced population are minor, or fewer than 200 people

are displaced, an abbreviated resettlement plan may be agreed with the borrower (see

Annex A, para. 22). The information disclosure procedures set forth in para. 22 apply.

Resettlement Policy Framework

26. For sector investment operations that may involve involuntary resettlement, the

Bank requires that the project implementing agency screen subprojects to be financed

by the Bank to ensure their consistency with this OP. For these operations, the






borrower submits, prior to appraisal, a resettlement policy framework that conforms

to this policy (see Annex A, paras. 23-25). The framework also estimates, to the

extent feasible, the total population to be displaced and the overall resettlement costs.

27. For financial intermediary operations that may involve involuntary resettlement,

the Bank requires that the financial intermediary (FI) screen subprojects to be

financed by the Bank to ensure their consistency with this OP. For these operations,

the Bank requires that before appraisal the borrower or the FI submit to the Bank a

resettlement policy framework conforming to this policy (see Annex A, paras. 23-25).

In addition, the framework includes an assessment of the institutional capacity and

procedures of each of the FIs that will be responsible for subproject financing. When,

in the assessment of the Bank, no resettlement is envisaged in the subprojects to be

financed by the FI, a resettlement policy framework is not required. Instead, the legal

agreements specify the obligation of the FIs to obtain from the potential sub

borrowers a resettlement plan consistent with this policy if a subproject gives rise to

resettlement. For all subprojects involving resettlement, the resettlement plan is

provided to the Bank for approval before the subproject is accepted for Bank

financing.

28. For other Bank-assisted project with multiple subprojects that may involve

involuntary resettlement, the Bank requires that a draft resettlement plan conforming

to this policy be submitted to the Bank before appraisal of the project unless, because

of the nature and design of the project or of a specific subproject or subprojects (a) the

zone of impact of subprojects cannot be determined, or (b) the zone of impact is

known but precise sitting alignments cannot be determined. In such cases, the

borrower submits a resettlement policy framework consistent with this policy prior to

appraisal (see Annex A, paras. 23-25). For other subprojects that do not fall within the

above criteria, a resettlement plan conforming to this policy is required prior to

appraisal.

29. For each subproject included in a project described in para. 26, 27, or 28 that may

involve resettlement, the Bank requires that a satisfactory resettlement plan or an

abbreviated resettlement plan that is consistent with the provisions of the policy

framework be submitted to the Bank for approval before the subproject is accepted for

Bank financing.

30. For projects described in paras. 26-28 above, the Bank may agree, in writing that

subprojects resettlement plans may be approved by the project implementing agency

or a responsible government agency or financial intermediary without prior Bank

review, if that agency has demonstrated adequate institutional capacity to review

resettlement plans and ensure their consistency with this policy. Any such delegation,

and appropriate remedies for the entity’s approval of resettlement plans found not to

be in compliance with Bank policy, is provided for in the legal agreements for the

project. In all such cases, implementation of the resettlement plans is subject to ex

post review by the Bank.

Process Framework

31. for projects involving restriction of access in accordance with para. 3(b) above,

the borrower provides the Bank with a draft process framework that conforms to the

relevant provisions of this policy as a condition of appraisal. In addition, during

project implementation and before to enforcing of the restriction, the borrower

prepares a plan of action, acceptable to the Bank, describing the specific measures to





be undertaken to assist the displaced persons and the arrangements for their

implementation. The plan of action could take the form of a natural resources

management plan prepared for the project.

Assistance to the Borrower

32. In furtherance of the objectives of this policy, the Bank may at a borrower's

request support the borrower and other concerned entities by providing:

(a) Assistance to assess and strengthen resettlement policies, strategies, legal

frameworks, and specific plans at a country, regional, or sectoral level;

(b) Financing of technical assistance to strengthen the capacities of agencies

responsible for resettlement, or of affected people to participate more effectively in

resettlement operations;

(c) Financing of technical assistance for developing resettlement policies, strategies,

and specific plans, and for implementation, monitoring, and evaluation of resettlement

activities; and

(d) Financing of the investment costs of resettlement.

33. The Bank may finance either a component of the main investment causing

displacement and requiring resettlement, or a free-standing resettlement project with

appropriate cross-conditionalities, processed and implemented in parallel with the

investment that causes the displacement. The Bank may finance resettlement even

though it is not financing the main investment that makes resettlement necessary.


ANNEX 9: ISSUES RAISED DURING RPF CONSULTATIVE MEETING AT

COUNTIES WHERE RPLRP WILL BE UNDERTAKEN

Summary of Public Consultation on The Regional Pastoralist Livelihood

Resilience Project held in Kajiado, Turkana, Laikipia, Mandera, Narok,

Baringo, Isiolo And West Pokot Counties

Date: 7th

-15th

november 2013.

Resettlement/Displacement Issues The workshop was convened to inform stakeholders in the 8 selected Counties of the

intended Regional Pastoral Livelihoods Resilience project.and to solicit their views on

the same specifically those issues related to resettlement. The main thrust was to get

views and/or concerns on the environmental and social safeguards policies by the

World Bank as well as the host country regulations on the same.

The workshop participants were led through the four (4) core components of the

intended project together with the sub-components involved and were then requested

to give their views or any concerns that may emerge in tandem with the World Bank

policies on safeguards measures. Their views were as follows;

Natural Resource Management Component

Rehabilitation of Water Infrastructure: - This includes building new or

rehabilitating existing water sources such as dams, water pans, boreholes and shallow

wells. Participants raised concerns that such undertakings may result in negative

impacts such as;

a) Conflict: - It was noted that conflicts could arise as communities compete for

water resources and this may affect adversely the vulnerable and marginalized

groups.

b) Resettlement: - Some of the projects may result in displacement of persons

e.g. dam construction, livestock markets among others

c) Gender sensitivity of the project especially when locating water infrastructure

d) How will project will improve resilience

e) Will the compensation for land consider market rates?

f) Will the squatters or encroachers also receive compensation?

Rangeland Rehabilitation: - The sub component intends to revive exhausted pasture

areas by reseeding. Impacts noted by the stakeholders consulted as likely to occur

include;

1. Conflict over grazing lands – This may arise due to competition among

pastoralists over rangeland pasture and could have dire consequences on

vulnerable and marginalized groups who depend on pasture and water in the

Isiolo County.

Marketing Infrastructure

The component as proposed would include among others the rehabilitation and/or

building of livestock markets and stock routes together with holding grounds. Likely

impacts noted by the participants were;

a) Conflict – This could arise due to competition and it was further noted that

stock theft and compromised security is also likely to occur as animals are


taken to the markets for sale. This conflict may adversely affect vulnerable

and marginalized groups

b) Displacement – People may end up being displaced (economically and

physically) e.g. when livestock markets, holding grounds or slaughterhouse

are constructed.

c) Family disruptions – This was noted as likely in cases where land may be sold

by a household head without informing other family members

d) Compensation should be done in a fair and timely manner in situations where

displacement is unavoidable.

e) Provision of social amenities to displaced/resettled persons. These may be

schools or health facilities.

Livelihoods Support

Stakeholders raised the following concerns regarding impacts associated with the

livelihood support component;

a) Irrigation of the fodder crop may result in displacement on either private or

communal land

b) Conflicts – Due to use of water for irrigation, water sources may be depleted

leading to conflicts.

Alternative Livelihoods

This sub component looks at other alternatives to livestock keeping. It proposes

starting up cottage industries, engage in gum and resins harvesting, bee keeping,

tourism, emerging livestock etc. Likely impacts include;

a) Displacement – may arise e.g. when building fish ponds

b) The project should not initiate activities which might increase pressure on

resources that these groups use for subsistence harvesting;


ANNEX 10: LIST OF PARTICIPANTS WHO ATTENDED CONSULTATION ON

RESETTLEMENT POLICY FRAMEWORK